JOHNSTON & ASSOCIATES INC
JOHNSTON JAMES M & ASSOCIATES INC Legal Name
Adviser information for JOHNSTON & ASSOCIATES INC last updated from Form ADV on March 29th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 158 | $252.9M |
| Non-Discretionary | 4 | $145.4M |
| Total | 162 | $398.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 25 | $10.0M |
| HNW Individuals | 33 | $349.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $6.5M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $32.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agentESTATE PLANNING |
Identifiers
| SEC RIA File Number | 801-77752 |
|---|---|
| SEC ERA File Number | 801-77752 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106048 |
| Legal Entity Identifier | None |
Principal Office
4500 CHERRY CREEK DRIVE SOUTHSUITE 1070
GLENDALE
CO
United States
BY APPOINTMENT ONLY, 8:30 AM TO 5:00 PM
Tel: 303-831-6120, Fax: 303-830-0794
Chief Compliance Officer
EDWARD J. DURICA, III
PORTFOLIO MANAGER
4500 CHERRY CREEK DRIVE SOUTH
SUITE 1070
GLENDALE
CO
United States
Tel:
303-831-6120
Fax:
303-830-0794
E*@***********M
(Full email address available in API data)
Regulatory Contact
VINEY GUTT
4500 CHERRY CREEK DRIVE SOUTH
SUITE 1070
GLENDALE
CO
United States
Tel:
303-831-6120
Fax:
303-830-0794
V****@***********M
(Full email address available in API data)
Industry Affiliates
| JMJ CONSULTING, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| JOHNSTON, JAMES, MICHAEL | Individual | – | PRESIDENT/DIRECTOR | 10/1996 | 50-75% |
| GUTT, ALVINA, MARGARET | Individual | – | TREASURER/DIRECTOR | 01/1998 | 10-25% |
| DURICA, EDWARD, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT/DIRECTOR | 01/2015 | 25-50% |
| Johnston, Susan, W | Individual | – | SECRETARY/DIRECTOR | 06/2022 | < 5% |