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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

ULLMANN WEALTH PARTNERS

THE ULLMANN FINANCIAL GROUP, INC., CRD 123748

JACKSONVILLE BEACH, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7114c6d7-dff2-228b-c834-4e550f63aeca

Data as of Dec 3, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 5
On other graphs: 0
Observed: Mar 1, 2012 to Dec 3, 2021
35 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $582MItem 5.F on the latest filing (2021-12-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $575M
Private client RAUM: $581MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 812
Individual clients: 153
High net worth clients: 173
Custody, client assets: $102M
SEC number: 801-61563
CRD: 123748
Filings on the tape: 35
First filed: Mar 1, 2012
Latest filed: Dec 3, 2021
Organised: Corporation, Florida

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KING, CARRIE	CHIEF COMPLIANCE OFFICER	Na	yes	03/2020	Mar 17, 2021	Dec 3, 2021
ULLMANN, GLENN, MICHAEL	President	E	yes	10/2002	Mar 1, 2012	Dec 3, 2021

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 17, 2021	$582M	$575M	10	5	0	n/a	n/a
2019	Mar 16, 2020	$491M	$488M	10	5	1	n/a	n/a
2018	Mar 21, 2019	$386M	$377M	11	6	1	n/a	n/a
2017	Feb 26, 2018	$423M	$357M	7	6	0	n/a	n/a
2016	Feb 27, 2017	$296M	$256M	6	5	n/a	n/a	n/a
2015	Feb 19, 2016	$300M	$4.4M	6	5	n/a	n/a	n/a
2014	Feb 6, 2015	$218M	$3.0M	7	4	n/a	n/a	n/a
2013	Jan 22, 2014	$174M	$4.9M	8	4	n/a	n/a	n/a
2012	Feb 8, 2013	$137M	$4.4M	7	3	n/a	n/a	n/a
2011	Mar 1, 2012	$119M	$700,000	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$582M	$491M	18.6%	$423M	11.3%	10	10	0	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ULLMANN WEALTH PARTNERS	4	Jan 3, 2022	Jan 10, 2022	JACKSONVILLE BEACH, FL	Firm absorbed	RIA to new firm	80.0%

Relationships

Controls (2)

← ULLMANN, GLENN, MICHAELOwnerPRESIDENT, ownership code E, individual
Mar 1, 2012 to presentfactForm ADV
← KING, CARRIEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 17, 2021 to presentfactForm ADV

Moved with (1)

→ ULLMANN WEALTH PARTNERSRegistered adviser4 advisors, firm absorbed, same day
Jan 3, 2022 to Jan 10, 2022factForm ADV

Registered with (7)

← GLENN MICHAEL ULLMANNAdvisorregistration: previous registration
Oct 28, 2002 to Jan 3, 2022factForm ADV
← BRIAN G JAMESAdvisorregistration: previous registration
May 24, 2016 to Jan 3, 2022factForm ADV
← CAITLIN FrederickAdvisorregistration: previous registration
Sep 2, 2020 to Jan 3, 2022factForm ADV
← PATRICK J KILBANEAdvisorregistration: previous registration
Apr 16, 2014 to Jan 3, 2022factForm ADV
← CARRIE KINGAdvisorregistration: previous registration
Jan 17, 2018 to Jan 3, 2022factForm ADV
← DEANNA ANN BROWNAdvisorregistration: previous registration
Oct 25, 2002 to Oct 9, 2019factForm ADV
← JESSICA KENNEY DREICERAdvisorregistration: previous registration
Apr 18, 2011 to Jan 8, 2015factForm ADV

Dated events

Occurred
Jan 3, 2022
Firm absorbed
Ullmann Wealth Partners's advisors moved to Ullmann Wealth Partners (Jacksonville Beach, FL): 4 of 5 registered, on the same day
Form ADVobserved 4 days ago
4 advisors
Occurred
Mar 17, 2021
Control person joined
Carrie King (Chief Compliance Officer) appeared on Schedule A of Ullmann Wealth Partners
Form ADVobserved 4 days ago
Occurred
Oct 9, 2020
Control person left
Ann Deanna Brown (Shareholder) no longer on Schedule A of Ullmann Wealth Partners (listed 2020-05-29, absent 2020-10-09)
Form ADVobserved 4 days ago
Occurred
Mar 16, 2020
Regulatory AUM changed
Ullmann Wealth Partners reported RAUM $491.0M, up 27% from $386.0M (2019-10-10 to 2020-03-16)
Form ADVobserved 4 days ago
$105M
Occurred
Feb 26, 2018
Regulatory AUM changed
Ullmann Wealth Partners reported RAUM $422.6M, up 43% from $296.0M (2017-08-01 to 2018-02-26)
Form ADVobserved 4 days ago
$127M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7114c6d7-dff2-228b-c834-4e550f63aeca
First observed: Mar 1, 2012
Last observed: Dec 3, 2021 58 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ULLMANN WEALTH PARTNERS

THE ULLMANN FINANCIAL GROUP, INC., CRD 123748

JACKSONVILLE BEACH, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7114c6d7-dff2-228b-c834-4e550f63aeca

Data as of Dec 3, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:22 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KING, CARRIE

CHIEF COMPLIANCE OFFICER

yes

03/2020

Mar 17, 2021

Dec 3, 2021

ULLMANN, GLENN, MICHAEL

President

yes

10/2002

Mar 1, 2012

Dec 3, 2021

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 17, 2021

$582M

$575M

n/a

2019

Mar 16, 2020

$491M

$488M

n/a

2018

Mar 21, 2019

$386M

$377M

n/a

2017

Feb 26, 2018

$423M

$357M

n/a

2016

Feb 27, 2017

$296M

$256M

n/a

2015

Feb 19, 2016

$300M

$4.4M

n/a

2014

Feb 6, 2015

$218M

$3.0M

n/a

2013

Jan 22, 2014

$174M

$4.9M

n/a

2012

Feb 8, 2013

$137M

$4.4M

n/a

2011

Mar 1, 2012

$119M

$700,000

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$582M

$491M

18.6%

$423M

11.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ULLMANN WEALTH PARTNERS

Jan 3, 2022

Jan 10, 2022

JACKSONVILLE BEACH, FL

Firm absorbed

RIA to new firm

80.0%