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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

FORESTERS INVESTMENT MANAGEMENT COMPANY, INC.

CRD 1844

NEW YORK, NY

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:59963918-b95c-57e9-409f-a0453bd8810f

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Dec 23, 2011 to Mar 29, 2019
18 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: $15BItem 5.F on the latest filing (2019-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $15B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 67
Advisory employees: 29
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 40
SEC number: 801-7885
CRD: 1844
Filings on the tape: 18
First filed: Dec 23, 2011
Latest filed: Mar 29, 2019
Organised: Corporation, New York

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
FORESTERS FINANCIAL HOLDING COMPANY, INC.	HOLDING COMPANY	E	yes	02/1968	Sep 21, 2015	Mar 29, 2019
GANNON, FRANCIS, XAVIER	CHIEF FINANCIAL OFFICER	Na	yes	04/2013	May 31, 2013	Mar 29, 2019
MILGRAM, MARC, STEVEN	CHIEF COMPLIANCE OFFICER	Na	yes	11/2010	Dec 23, 2011	Mar 29, 2019
Moore, E Blake	Chairman	Na	yes	02/2018	Mar 29, 2018	Mar 29, 2019
THE INDEPENDENT ORDER OF FORESTERS	Owner	E	yes	01/2011	Dec 23, 2011	Mar 29, 2019
WAGNER, CLARK, DAVID	CHIEF INVESTMENT OFFICER	Na	yes	02/2018	May 26, 2016	Mar 29, 2019

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
FORESTERS ADVISORY SERVICES, LLC	n/a	Former SEC adviser	$2.4B	N	yes	n/a
FORESTERS EQUITY SERVICES, INC.	n/a	Former SEC adviser	$22.2M	N	yes	n/a
FORESTERS ASSET MANAGEMENT, INC.	n/a	n/a	n/a	N	yes	n/a
FORESTERS FINANCIAL SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
FORESTERS LIFE INSURANCE AND ANNUITY COMPANY	n/a	n/a	n/a	N	yes	n/a
FORESTERS LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
THE INDEPENDENT ORDER OF FORESTERS	n/a	n/a	n/a	Y	no	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
2018	Mar 29, 2019	$15B	$15B	67	29	0	n/a	n/a
2017	Mar 29, 2018	$17B	$17B	65	25	0	n/a	n/a
2016	Mar 31, 2017	$15B	$15B	72	22	n/a	n/a	n/a
2015	Mar 30, 2016	$11B	$11B	67	31	n/a	n/a	n/a
2014	Mar 31, 2015	$11B	$11B	57	19	n/a	n/a	n/a
2013	Mar 28, 2014	$10B	$10B	56	17	n/a	n/a	n/a
2012	Apr 1, 2013	$8.6B	$8.6B	51	13	n/a	n/a	n/a
2011	Mar 30, 2012	$7.5B	$7.5B	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
2018	$15B	$17B	-9.0%	$11B	10.9%	67	65	0	0

Relationships

Affiliated with (4)

← FORESTERS ADVISORY SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FORESTERS ADVISORY SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FORESTERS EQUITY SERVICES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← FORESTERS EQUITY SERVICES, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← WAGNER, CLARK, DAVIDOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
May 26, 2016 to presentfactForm ADV
← Moore, E BlakeOwnerCHAIRMAN, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV
← MILGRAM, MARC, STEVENOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 23, 2011 to presentfactForm ADV
← GANNON, FRANCIS, XAVIEROwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
May 31, 2013 to presentfactForm ADV
← FORESTERS FINANCIAL HOLDING COMPANY, INC.OwnerHOLDING COMPANY, ownership code E, domestic entity
Sep 21, 2015 to presentfactForm ADV
← THE INDEPENDENT ORDER OF FORESTERSOwnerOWNER, ownership code E, foreign entity
Dec 23, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:59963918-b95c-57e9-409f-a0453bd8810f
First observed: Dec 23, 2011
Last observed: Mar 29, 2019 91 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.

FORESTERS INVESTMENT MANAGEMENT COMPANY, INC.

CRD 1844

NEW YORK, NY

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:59963918-b95c-57e9-409f-a0453bd8810f

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:31 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FORESTERS FINANCIAL HOLDING COMPANY, INC.

HOLDING COMPANY

yes

02/1968

Sep 21, 2015

Mar 29, 2019

GANNON, FRANCIS, XAVIER

CHIEF FINANCIAL OFFICER

yes

04/2013

May 31, 2013

Mar 29, 2019

MILGRAM, MARC, STEVEN

CHIEF COMPLIANCE OFFICER

yes

11/2010

Dec 23, 2011

Mar 29, 2019

Moore, E Blake

Chairman

yes

02/2018

Mar 29, 2018

Mar 29, 2019

THE INDEPENDENT ORDER OF FORESTERS

Owner

yes

01/2011

Dec 23, 2011

Mar 29, 2019

WAGNER, CLARK, DAVID

CHIEF INVESTMENT OFFICER

yes

02/2018

May 26, 2016

Mar 29, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FORESTERS ADVISORY SERVICES, LLC

n/a

Former SEC adviser

$2.4B

yes

n/a

FORESTERS EQUITY SERVICES, INC.

n/a

Former SEC adviser

$22.2M

yes

n/a

FORESTERS ASSET MANAGEMENT, INC.

n/a

yes

n/a

FORESTERS FINANCIAL SERVICES, INC.

n/a

yes

n/a

FORESTERS LIFE INSURANCE AND ANNUITY COMPANY

n/a

yes

n/a

FORESTERS LIFE INSURANCE COMPANY

n/a

yes

n/a

THE INDEPENDENT ORDER OF FORESTERS

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 29, 2019

$15B

n/a

2017

Mar 29, 2018

$17B

n/a

2016

Mar 31, 2017

$15B

n/a

2015

Mar 30, 2016

$11B

n/a

2014

Mar 31, 2015

$11B

n/a

2013

Mar 28, 2014

$10B

n/a

2012

Apr 1, 2013

$8.6B

n/a

2011

Mar 30, 2012

$7.5B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$15B

$17B

-9.0%

$11B

10.9%