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

JOHNSTON & ASSOCIATES INC

JOHNSTON JAMES M & ASSOCIATES INC, CRD 106048

GLENDALE, CO

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:c79c1b46-890e-1248-ba1c-c74ee50690cc

Data as of Mar 29, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 4
On other graphs: 0
Observed: Feb 2, 2012 to Mar 29, 2023
17 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: $398MItem 5.F on the latest filing (2023-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $253M
Private client RAUM: $360MderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 162
Individual clients: 25
High net worth clients: 33
SEC number: 801-77752
CRD: 106048
Filings on the tape: 17
First filed: Feb 2, 2012
Latest filed: Mar 29, 2023
Organised: Corporation, Colorado

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
DURICA, EDWARD, JOHN	CHIEF COMPLIANCE OFFICER/VICE PRESIDENT/DIRECTOR	C	yes	01/2015	Feb 2, 2012	Mar 29, 2023
GUTT, ALVINA, MARGARET	TREASURER/DIRECTOR	B	yes	01/1998	Feb 2, 2012	Mar 29, 2023
JOHNSTON, JAMES, MICHAEL	PRESIDENT/DIRECTOR	D	yes	10/1996	Feb 2, 2012	Mar 29, 2023
Johnston, Susan, W	SECRETARY/DIRECTOR	Na	no	06/2022	Mar 29, 2023	Mar 29, 2023

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
JAMES M. JOHNSTON	n/a	n/a	n/a	Y	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
2022	Mar 29, 2023	$398M	$253M	4	2	0	n/a	n/a
2021	Mar 23, 2022	$346M	$202M	4	2	0	n/a	n/a
2020	Mar 25, 2021	$254M	$137M	4	2	0	n/a	n/a
2019	Mar 17, 2020	$258M	$131M	5	4	0	n/a	n/a
2018	Mar 27, 2019	$270M	$116M	5	4	0	n/a	n/a
2017	Mar 23, 2018	$282M	$125M	4	2	0	n/a	n/a
2016	Feb 27, 2017	$273M	$120M	6	3	n/a	n/a	n/a
2015	Mar 18, 2016	$289M	$141M	6	3	n/a	n/a	n/a
2014	Feb 23, 2015	$310M	$163M	6	3	n/a	n/a	n/a
2013	Mar 13, 2014	$560M	$79.4M	5	3	n/a	n/a	n/a
2011	Feb 2, 2012	$47.3M	$47.3M	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
2022	$398M	$346M	15.0%	$258M	15.6%	4	4	0	0

Relationships

Controls (3)

← DURICA, EDWARD, JOHNOwnerCHIEF COMPLIANCE OFFICER/VICE PRESIDENT/DIRECTOR, ownership code C, individual
Feb 2, 2012 to presentfactForm ADV
← GUTT, ALVINA, MARGARETOwnerTREASURER/DIRECTOR, ownership code B, individual
Feb 2, 2012 to presentfactForm ADV
← JOHNSTON, JAMES, MICHAELOwnerPRESIDENT/DIRECTOR, ownership code D, individual
Feb 2, 2012 to presentfactForm ADV

Owns (1)

← Johnston, Susan, WOwnerSECRETARY/DIRECTOR, ownership code NA, individual
Mar 29, 2023 to presentfactForm ADV

Registered with (2)

← EDWARD JOHN DURICAAdvisorregistration: previous registration
May 21, 2013 to Jun 13, 2023factForm ADV
← JAMES MICHAEL JOHNSTONAdvisorregistration: previous registration
Jan 1, 1999 to Jun 13, 2023factForm ADV

Dated events

Occurred
Jun 13, 2023
Advisor changed firm
Edward John Durica left Johnston & Associates Inc for Alphacore Capital Llc (registered 2023-04-03)
Form ADVobserved 5 days ago
Occurred
Jun 13, 2023
Advisor changed firm
James Michael Johnston left Johnston & Associates Inc for Rmin Securities, Inc. (registered 2007-01-26)
Form ADVobserved 5 days ago
Occurred
Mar 29, 2023
Control person left
Ritter Gail Egbert (Secretary/Director) no longer on Schedule A of Johnston & Associates Inc (listed 2022-03-23, absent 2023-03-29)
Form ADVobserved 5 days ago
Occurred
Mar 8, 2013
First Form ADV filing
Johnston & Associates Inc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c79c1b46-890e-1248-ba1c-c74ee50690cc
First observed: Feb 2, 2012
Last observed: Mar 29, 2023 42 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.

JOHNSTON & ASSOCIATES INC

JOHNSTON JAMES M & ASSOCIATES INC, CRD 106048

GLENDALE, CO

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:c79c1b46-890e-1248-ba1c-c74ee50690cc

Data as of Mar 29, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:58 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DURICA, EDWARD, JOHN

CHIEF COMPLIANCE OFFICER/VICE PRESIDENT/DIRECTOR

yes

01/2015

Feb 2, 2012

Mar 29, 2023

GUTT, ALVINA, MARGARET

TREASURER/DIRECTOR

yes

01/1998

Feb 2, 2012

Mar 29, 2023

JOHNSTON, JAMES, MICHAEL

PRESIDENT/DIRECTOR

yes

10/1996

Feb 2, 2012

Mar 29, 2023

Johnston, Susan, W

SECRETARY/DIRECTOR

06/2022

Mar 29, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JAMES M. JOHNSTON

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 29, 2023

$398M

$253M

n/a

2021

Mar 23, 2022

$346M

$202M

n/a

2020

Mar 25, 2021

$254M

$137M

n/a

2019

Mar 17, 2020

$258M

$131M

n/a

2018

Mar 27, 2019

$270M

$116M

n/a

2017

Mar 23, 2018

$282M

$125M

n/a

2016

Feb 27, 2017

$273M

$120M

n/a

2015

Mar 18, 2016

$289M

$141M

n/a

2014

Feb 23, 2015

$310M

$163M

n/a

2013

Mar 13, 2014

$560M

$79.4M

n/a

2011

Feb 2, 2012

$47.3M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$398M

$346M

15.0%

$258M

15.6%