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CRD 164663
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| FORESTERS FINANCIAL HOLDING COMPANY, INC. | MEMBER AND HOLDING COMPANY | E | yes | 05/2012 | Sep 21, 2015 | Jun 26, 2019 |
| GANNON, FRANCIS, XAVIER | CHIEF FINANCIAL OFFICER | Na | yes | 04/2013 | May 31, 2013 | Jun 26, 2019 |
| GERB, JASON, HARRIS | CHIEF COMPLIANCE OFFICER | Na | yes | 12/2013 | Jan 6, 2014 | Jun 26, 2019 |
| Moore, E Blake | PRESIDENT AND MEMBER OF THE BOARD OF MANAGERS | Na | yes | 02/2018 | Mar 22, 2018 | Jun 26, 2019 |
| THE INDEPENDENT ORDER OF FORESTERS | OWNER - FRATERNAL BENEFITS SOCIETY | E | yes | 01/2011 | Jun 28, 2012 | Jun 26, 2019 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| FORESTERS INVESTMENT MANAGEMENT COMPANY, INC. | n/a | Former SEC adviser | $15B | 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 |
| THE INDEPENDENT ORDER OF FORESTERS | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Beaverton | Or | United States | 21 | yes |
| Edison | Nj | United States | 20 | yes |
| Lombard | IL | United States | 19 | yes |
| Phoenix | Az | United States | 16 | yes |
| Latham | NY | United States | 16 | yes |
| NEW YORK | NY | United States | 16 | yes |
| SAN DIEGO | CA | United States | 15 | yes |
| EAST HARTFORD | Ct | United States | 14 | yes |
| Monrovia | CA | United States | 12 | yes |
| Cheektowaga | NY | United States | 12 | yes |
| Iselin | Nj | United States | 11 | yes |
| PEARL RIVER | NY | United States | 11 | yes |
| Indianapolis | In | United States | 10 | yes |
| Westbury | NY | United States | 10 | yes |
| Edina | Mn | United States | 9 | yes |
| Canonsburg | Pa | United States | 9 | yes |
| FORT WORTH | TX | United States | 9 | yes |
| Denver | Co | United States | 8 | yes |
| NORTH HAVEN | Ct | United States | 8 | yes |
| Atlanta | Ga | United States | 8 | yes |
| Lexington | Ky | United States | 8 | yes |
| NEW YORK | NY | United States | 8 | yes |
| GLEN ALLEN | Va | United States | 8 | yes |
| Renton | Wa | United States | 8 | yes |
| Fairport | NY | United States | 7 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2018 | Mar 22, 2019 | $2.4B | $0 | 372 | 349 | 46 | n/a | n/a |
| 2017 | Mar 22, 2018 | $2.1B | $0 | 378 | 356 | 46 | n/a | n/a |
| 2016 | Mar 31, 2017 | $1.5B | $0 | 325 | 305 | n/a | n/a | n/a |
| 2015 | Mar 21, 2016 | $996M | $0 | 247 | 237 | n/a | n/a | n/a |
| 2014 | Jan 15, 2015 | $656M | $0 | 204 | 198 | n/a | n/a | n/a |
| 2013 | Jan 29, 2014 | $412M | $0 | 168 | 165 | n/a | n/a | n/a |
| 2012 | Jan 15, 2013 | $71.3M | $0 | 100 | 100 | n/a | n/a | 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 | $2.4B | $2.1B | 17.8% | $996M | 34.7% | 372 | 378 | 46 | 46 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| MML INVESTORS SERVICES, LLC | 2 | Jun 7, 2019 | Apr 15, 2021 | PEARL RIVER, NY | Team lift out | Ibd to ibd | 0.6% |
| KESTRA ADVISORY SERVICES, LLC | 3 | Jun 6, 2019 | Jun 7, 2019 | PHOENIX, AZ | Team lift out | Ibd to ibd | 0.9% |
| LPL FINANCIAL LLC | 2 | May 21, 2019 | May 28, 2019 | MONROVIA, CA | Team lift out | Ibd to RIA | 0.6% |
| KESTRA ADVISORY SERVICES, LLC | 2 | May 20, 2019 | May 21, 2019 | MONROVIA, CA | Team lift out | Ibd to ibd | 0.6% |
| LPL FINANCIAL LLC | 5 | Mar 29, 2019 | Mar 29, 2019 | BEAVERTON, OR | Team lift out | Ibd to RIA | 1.5% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | Feb 15, 2019 | Feb 19, 2019 | INDEPENDENCE, OH | Team lift out | Ibd to ibd | 0.6% |
| A.G.P / ALLIANCE GLOBAL PARTNERS | 2 | Feb 4, 2019 | Mar 19, 2019 | SUNRISE, FL | Team lift out | Ibd to ibd | 0.6% |
| LPL FINANCIAL LLC | 3 | Sep 11, 2018 | Sep 16, 2018 | CHARLOTTE, NC | Team lift out | Ibd to RIA | 0.9% |
| CRI SECURITIES, LLC | 2 | Aug 2, 2018 | Aug 13, 2018 | SAN ANTONIO, TX | Team lift out | Ibd to ibd | 0.6% |
| LPL FINANCIAL LLC | 3 | Jul 24, 2018 | Dec 12, 2019 | CHARLOTTE, NC | Team lift out | Ibd to RIA | 0.9% |
| KESTRA ADVISORY SERVICES, LLC | 3 | May 11, 2018 | May 10, 2018 | ATLANTA, GA | Team lift out | Ibd to ibd | 0.9% |
| KESTRA ADVISORY SERVICES, LLC | 3 | May 2, 2018 | May 1, 2018 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 0.9% |
| WADDELL & REED | 2 | Feb 27, 2018 | Feb 23, 2018 | MONROVIA, CA | Team lift out | Other | 0.6% |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 2 | Jan 30, 2018 | Feb 9, 2018 | BEAVERTON, OR | Team lift out | Other | 0.6% |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 2 | May 23, 2016 | Jun 10, 2016 | BEAVERTON, OR | Team lift out | Other | 0.9% |