SourcingSourcing

ST. JOHN & ASSOCIATES, INC.

A74
CRD 124778·SEC 801-121426·ROSWELL, GA
AUM
$128.4M
$100M-$500M
Est. Revenue
$1.3M
@ 1% on AUM
Est. EBITDA
$385K
@ 30% margin
Est. Deal Value
$3.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ST. JOHN & ASSOCIATES, INC.
CRD
124778
SEC file #
801-121426
EIN
—
DBA names
—

Economics

AUM
$128.4M
AUM band
$100M-$500M
AUM trajectory
'22'26
$119.9M → $128.4M▲ +7%
Client mix
Individuals Other99
Individuals High Net Worth43
Other11

Operations

Employees (total)
6
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'22'26
3 advisors → 2 advisors▼ -33%
Primary office
ROSWELL GA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesOther Compensation

Filings

Latest ADV filing
03/23/2026
ADV-W filed at
—
Website
facebook.com/stjohnandassociates(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
STJOHN, RICHARD, JOSEPH
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
STJOHN, RICHARD, JOSEPH
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:stjohn.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
17
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
1913537
Trust Company Affiliate
No

People (3)

3
STJOHN, RICHARD, JOSEPH
IAR · Direct Owner · 87.5%
1913537
GREGORY RICHARD ST. JOHN
IAR
4644685
BRYAN MICHAEL TOTRI
IAR
2166602