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

THE JOHNSTON GROUP, INC.

CRD 122889

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:30a06dab-7b26-83ce-e713-0c73eef38433

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Feb 6, 2012 to Mar 30, 2017
6 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: $145MItem 5.F on the latest filing (2017-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Accounts: 311
SEC number: 801-79834
CRD: 122889
Filings on the tape: 6
First filed: Feb 6, 2012
Latest filed: Mar 30, 2017
Organised: Corporation, Pennsylvania

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
JOHNSTON, DONN, ALLAN	PRINCIPAL, DIRECTOR, SECRETARY, TREASURER	D	yes	05/1998	Feb 6, 2012	Mar 30, 2017
JOHNSTON, KATHERINE, FORTINO	PRINCIPAL, PRESIDENT/CHIEF COMPLIANCE OFFICER	D	yes	05/1998	Feb 6, 2012	Mar 30, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CAPFINANCIAL PARTNERS, LLC	n/a	Institutional manager	$1237B	N	yes	n/a
CAPFINANCIAL SECURITIES, LLC.	n/a	Former SEC adviser	$116B	N	yes	n/a
PENSIONMARK FINANCIAL GROUP, LLC	n/a	Other adviser	$72B	N	yes	n/a

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
2016	Mar 30, 2017	$145M	$0	3	3	n/a	n/a	n/a
2015	Mar 9, 2016	$115M	$0	4	2	n/a	n/a	n/a
2014	Mar 10, 2015	$122M	$0	4	2	n/a	n/a	n/a
2011	Feb 6, 2012	$76.4M	$0	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
2016	$145M	$115M	25.8%	n/a	n/a	3	4	n/a	n/a

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
Captrust	3	Sep 6, 2017	Mar 30, 2017	LOWER GWYNEDD, PA	Firm absorbed	Other	100.0%

Relationships

Affiliated with (3)

→ CAPTRUST FINANCIAL ADVISORSRegistered adviserbroker-dealer, common control
factForm ADV
→ CAPTRUSTRegistered adviserother investment adviser, common control
factForm ADV
→ WORLD INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (2)

← JOHNSTON, DONN, ALLANOwnerPRINCIPAL, DIRECTOR, SECRETARY, TREASURER, ownership code D, individual
Feb 6, 2012 to presentfactForm ADV
← JOHNSTON, KATHERINE, FORTINOOwnerPRINCIPAL, PRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 6, 2012 to presentfactForm ADV

Registered with (3)

← Donn Allan JohnstonAdvisorregistration: previous registration
Aug 10, 1998 to Sep 6, 2017factForm ADV
← Katherine F JohnstonAdvisorregistration: previous registration
Aug 16, 2012 to Sep 6, 2017factForm ADV
← Donn Allan JohnstonAdvisorregistration: previous registration
Sep 16, 2016 to Sep 6, 2017factForm ADV

Moved with (1)

→ CAPTRUSTRegistered adviser3 advisors, firm absorbed, same day
Sep 6, 2017 to Mar 30, 2017factForm ADV

Dated events

Occurred
May 22, 2014
First Form ADV filing
The Johnston Group, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:30a06dab-7b26-83ce-e713-0c73eef38433
First observed: Feb 6, 2012
Last observed: Mar 30, 2017 115 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.

THE JOHNSTON GROUP, INC.

CRD 122889

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:30a06dab-7b26-83ce-e713-0c73eef38433

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:00 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

JOHNSTON, DONN, ALLAN

PRINCIPAL, DIRECTOR, SECRETARY, TREASURER

yes

05/1998

Feb 6, 2012

Mar 30, 2017

JOHNSTON, KATHERINE, FORTINO

PRINCIPAL, PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

05/1998

Feb 6, 2012

Mar 30, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPFINANCIAL PARTNERS, LLC

n/a

Institutional manager

$1237B

yes

n/a

CAPFINANCIAL SECURITIES, LLC.

n/a

Former SEC adviser

$116B

yes

n/a

PENSIONMARK FINANCIAL GROUP, LLC

n/a

Other adviser

$72B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

$145M

n/a

2015

Mar 9, 2016

$115M

n/a

2014

Mar 10, 2015

$122M

n/a

2011

Feb 6, 2012

$76.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$145M

$115M

25.8%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Captrust

Sep 6, 2017

Mar 30, 2017

LOWER GWYNEDD, PA

Firm absorbed

Other

100.0%