DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Johnston & Associates Inc

Former SEC-registered adviserGlendale, ColoradoCRD 106048SEC 801-77752IAPD
Legal name Johnston James M & Associates Inc
Latest filing Mar 29, 2023
First filing on the tape Feb 2, 2012 · 17 filings
RAUM
$398M
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
90%
$360M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$398M as of Mar 29, 2023
Feb 2, 2012$47.3M then
HNW client RAUM$350M as of Mar 29, 2023
Mar 23, 2018$234M then
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Feb 2, 20120 then
Employees (5.A)4 as of Mar 29, 2023
Mar 13, 20145 then
Private funds: no history
RAUM +15% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2023; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$10.6MderivedHNW RAUM over HNW clients
Average account
$2.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
63%derivedof RAUM
Institutional
1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+21%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$350M88%
  • Corporations and businesses$32.2M8.1%
  • Individuals$10.0M2.5%
  • Pension and profit-sharing plans$6.5M1.6%
Individual clients
25reported
HNW clients
33reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
162reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • John Edward Durica · Chief Compliance Officer/Vice President/Directorcontrol
    since 01/2015 · owns 25% to 50%
  • Margaret Alvina Gutt · Treasurer/Directorcontrol
    since 01/1998 · owns 10% to 25%
  • Michael James Johnston · President/Directorcontrol
    since 10/1996 · owns 50% to 75%
  • W Susan Johnston · Secretary/Director
    since 06/2022 · owns less than 5%
Related persons
Schedule D 7.A
  • James M. Johnston
    investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 164 to 162
    Mar 23, 2022 to Mar 29, 2023
  • HNW clients · 24 to 33
    Mar 23, 2022 to Mar 29, 2023
  • Individual clients · 24 to 25
    Mar 23, 2022 to Mar 29, 2023
  • Discretionary RAUM · $202M to $253M
    Mar 23, 2022 to Mar 29, 2023
  • HNW RAUM · $290M to $350M
    Mar 23, 2022 to Mar 29, 2023
  • Individual RAUM · $11.4M to $10.0M
    Mar 23, 2022 to Mar 29, 2023
  • Non-discretionary RAUM · $144M to $145M
    Mar 23, 2022 to Mar 29, 2023
  • Pension RAUM · $9.4M to $6.5M
    Mar 23, 2022 to Mar 29, 2023
  • RAUM · $346M to $398M
    Mar 23, 2022 to Mar 29, 2023
  • Accounts · 152 to 164
    Mar 25, 2021 to Mar 23, 2022
  • HNW clients · 25 to 24
    Mar 25, 2021 to Mar 23, 2022
  • Discretionary RAUM · $137M to $202M
    Mar 25, 2021 to Mar 23, 2022
  • HNW RAUM · $205M to $290M
    Mar 25, 2021 to Mar 23, 2022
  • Individual RAUM · $9.1M to $11.4M
    Mar 25, 2021 to Mar 23, 2022
  • Non-discretionary RAUM · $117M to $144M
    Mar 25, 2021 to Mar 23, 2022
  • Pension RAUM · $6.3M to $9.4M
    Mar 25, 2021 to Mar 23, 2022
  • RAUM · $254M to $346M
    Mar 25, 2021 to Mar 23, 2022
  • Accounts · 147 to 152
    Jun 30, 2020 to Mar 25, 2021
  • Advisory employees · 4 to 2
    Jun 30, 2020 to Mar 25, 2021
  • HNW clients · 24 to 25
    Jun 30, 2020 to Mar 25, 2021
  • Individual clients · 18 to 24
    Jun 30, 2020 to Mar 25, 2021
  • Employees · 5 to 4
    Jun 30, 2020 to Mar 25, 2021
  • Discretionary RAUM · $131M to $137M
    Jun 30, 2020 to Mar 25, 2021
  • HNW RAUM · $212M to $205M
    Jun 30, 2020 to Mar 25, 2021
  • Individual RAUM · $7.4M to $9.1M
    Jun 30, 2020 to Mar 25, 2021
  • Non-discretionary RAUM · $127M to $117M
    Jun 30, 2020 to Mar 25, 2021
  • Pension RAUM · $5.8M to $6.3M
    Jun 30, 2020 to Mar 25, 2021
  • RAUM · $258M to $254M
    Jun 30, 2020 to Mar 25, 2021
  • Accounts · 143 to 147
    Jul 31, 2019 to Mar 17, 2020
  • HNW clients · 20 to 24
    Jul 31, 2019 to Mar 17, 2020
  • Individual clients · 22 to 18
    Jul 31, 2019 to Mar 17, 2020
  • Discretionary RAUM · $116M to $131M
    Jul 31, 2019 to Mar 17, 2020
  • HNW RAUM · $197M to $212M
    Jul 31, 2019 to Mar 17, 2020
  • Individual RAUM · $11.8M to $7.4M
    Jul 31, 2019 to Mar 17, 2020
  • Non-discretionary RAUM · $154M to $127M
    Jul 31, 2019 to Mar 17, 2020
  • Pension RAUM · $5.4M to $5.8M
    Jul 31, 2019 to Mar 17, 2020
  • RAUM · $270M to $258M
    Jul 31, 2019 to Mar 17, 2020
  • Accounts · 146 to 143
    Mar 23, 2018 to Mar 27, 2019
  • Advisory employees · 2 to 4
    Mar 23, 2018 to Mar 27, 2019
  • Charity clients · 0.0 to unset
    Mar 23, 2018 to Mar 27, 2019
Signals
4 dated events
  • Edward John Durica left Johnston & Associates Inc for Alphacore Capital Llc (registered 2023-04-03)
    Jun 13, 2023 · Advisor changed firm · fact
  • James Michael Johnston left Johnston & Associates Inc for Rmin Securities, Inc. (registered 2007-01-26)
    Jun 13, 2023 · Advisor changed firm · fact
  • Ritter Gail Egbert (Secretary/Director) no longer on Schedule A of Johnston & Associates Inc (listed 2022-03-23, absent 2023-03-29)
    Mar 29, 2023 · Control person left · inference
  • Johnston & Associates Inc filed its initial SEC registration (Form ADV)
    Mar 8, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026