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

The Johnston Group, Inc.

Former SEC-registered adviserCRD 122889SEC 801-79834IAPD
Latest filing Mar 30, 2017
First filing on the tape Feb 6, 2012 · 6 filings
RAUM
$145M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$145M as of Mar 30, 2017
Feb 6, 2012$76.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 30, 2017
Feb 6, 20120 then
Employees (5.A)3 as of Mar 30, 2017
Mar 10, 20154 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 30, 2017; every figure names its basis
RAUM per advisor
$48.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$467,207derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
311reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Allan Donn Johnston · Principal, Director, Secretary, Treasurercontrol
        since 05/1998 · owns 50% to 75%
      • Fortino Katherine Johnston · Principal, President/Chief Compliance Officercontrol
        since 05/1998 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 295 to 311
        Mar 9, 2016 to Mar 30, 2017
      • Advisory employees · 2 to 3
        Mar 9, 2016 to Mar 30, 2017
      • Employees · 4 to 3
        Mar 9, 2016 to Mar 30, 2017
      • State-registered IARs · 2 to 3
        Mar 9, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $115M to $145M
        Mar 9, 2016 to Mar 30, 2017
      • RAUM · $115M to $145M
        Mar 9, 2016 to Mar 30, 2017
      • Related adviser · false to true
        Mar 9, 2016 to Mar 30, 2017
      • Related broker-dealer · false to true
        Mar 9, 2016 to Mar 30, 2017
      • Accounts · 288 to 295
        Mar 10, 2015 to Mar 9, 2016
      • Non-discretionary RAUM · $122M to $115M
        Mar 10, 2015 to Mar 9, 2016
      • RAUM · $122M to $115M
        Mar 10, 2015 to Mar 9, 2016
      • Accounts · 266 to 288
        May 22, 2014 to Mar 10, 2015
      • Employees · 3 to 4
        May 22, 2014 to Mar 10, 2015
      • Financial planning clients · 1-10 to 11-25
        May 22, 2014 to Mar 10, 2015
      • Non-discretionary RAUM · $112M to $122M
        May 22, 2014 to Mar 10, 2015
      • RAUM · $112M to $122M
        May 22, 2014 to Mar 10, 2015
      • Accounts · 257 to 266
        Mar 6, 2012 to May 22, 2014
      • Advisory employees · unset to 2.0
        Mar 6, 2012 to May 22, 2014
      • Employees · unset to 3.0
        Mar 6, 2012 to May 22, 2014
      • State-registered IARs · 0 to 2
        Mar 6, 2012 to May 22, 2014
      • Non-discretionary RAUM · $76.4M to $112M
        Mar 6, 2012 to May 22, 2014
      • RAUM · $76.4M to $112M
        Mar 6, 2012 to May 22, 2014
      Signals
      1 dated events
      • The Johnston Group, Inc. filed its initial SEC registration (Form ADV)
        May 22, 2014 · 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