DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

FORESTERS EQUITY SERVICES, INC.

CRD 18464

SAN DIEGO, CA

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:d9ba4446-d2ba-a320-4e2a-1d640d6ba49b

Data as of May 14, 2018 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 132
Dated events: 2
On other graphs: 0
Observed: Mar 28, 2013 to May 14, 2018
19 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: $22.2MItem 5.F on the latest filing (2018-05-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $22.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 108
Advisory employees: 108
Offices: 6Schedule D 1.F, beyond the principal office
Accounts: 262
Individual clients: 219
High net worth clients: 0
SEC number: 801-77880
CRD: 18464
Filings on the tape: 19
First filed: Mar 28, 2013
Latest filed: May 14, 2018
Organised: Corporation, California

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
GERB, JASON HARRIS	CHIEF COMPLIANCE OFFICER	Na	yes	06/2015	Jul 8, 2015	May 14, 2018
GIL, JUDITH ELAINE	VICE PRESIDENT COMPLIANCE	Na	yes	03/2012	Mar 28, 2013	May 14, 2018
MALECHUK, LAURA ANN	FINANCIAL OPERATIONS PRINCIPAL	Na	yes	10/1998	Mar 28, 2013	May 14, 2018
MCDONOUGH, MARK E	VP OPERATIONS	Na	yes	06/2007	Mar 28, 2013	May 14, 2018
REABURN, PAUL DOUGLAS	Director	Na	yes	08/2012	Mar 28, 2013	May 14, 2018
SMITH, FRANK LEO	President	Na	yes	08/2005	Mar 28, 2013	May 14, 2018
THE INDEPENDENT ORDER OF FORESTERS ("IOF")	Owner	E	yes	05/1986	Mar 28, 2013	May 14, 2018

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 INVESTMENT MANAGEMENT COMPANY, INC.	n/a	Former SEC adviser	$15B	N	yes	n/a
FORESTERS ADVISORY SERVICES, LLC	n/a	Former SEC adviser	$2.4B	N	yes	n/a
FORESTERS ASSET MANAGEMENT	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

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	21	yes
Livonia	Mi	United States	16	yes
n/a	n/a	n/a	15	yes
Pittsburg	CA	United States	12	yes
Valencia	CA	United States	12	yes
SAN DIEGO	CA	United States	5	no

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
2017	Mar 27, 2018	$22.2M	$0	108	108	6	n/a	n/a
2016	Feb 15, 2017	$16.0M	$0	135	135	n/a	n/a	n/a
2015	Mar 30, 2016	$10.8M	$0	120	120	n/a	n/a	n/a
2014	Apr 20, 2015	$8.3M	$0	113	110	n/a	n/a	n/a
2013	Mar 17, 2014	$5.6M	$0	91	86	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
2017	$22.2M	$16.0M	38.4%	$8.3M	38.7%	108	135	6	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LIFEMARK SECURITIES CORP.	3	Nov 6, 2018	Dec 6, 2018	PITTSBURG, CA	Team lift out	Ibd to RIA	15.0%
LIFEMARK SECURITIES CORP.	3	Nov 6, 2018	Nov 14, 2018	CONCORD, OH	Team lift out	Ibd to RIA	15.0%
LIFEMARK SECURITIES CORP.	4	Nov 1, 2018	Nov 5, 2018	LIVONIA, MI	Team lift out	Ibd to RIA	12.5%
LIFEMARK SECURITIES CORP.	9	Oct 29, 2018	Dec 6, 2018	OCALA, FL	Team lift out	Ibd to RIA	23.1%
LIFEMARK SECURITIES CORP.	4	Oct 24, 2018	Nov 20, 2018	MARLTON, NJ	Team lift out	Ibd to RIA	9.8%
PACKERLAND BROKERAGE SERVICES, INC.	7	Oct 10, 2018	Oct 31, 2018	CITY OF INDUSTRY, CA	Team lift out	Ibd to RIA	13.2%
CROWN CAPITAL SECURITIES, L.P.	2	Sep 10, 2018	Sep 21, 2018	VALENCIA, CA	Team lift out	Ibd to RIA	3.5%

Relationships

showing 80 of 132

Affiliated with (3)

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

Controls (7)

← MALECHUK, LAURA ANNOwnerFINANCIAL OPERATIONS PRINCIPAL, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← SMITH, FRANK LEOOwnerPRESIDENT, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← GIL, JUDITH ELAINEOwnerVICE PRESIDENT COMPLIANCE, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← GERB, JASON HARRISOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 8, 2015 to presentfactForm ADV
← REABURN, PAUL DOUGLASOwnerDIRECTOR, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← MCDONOUGH, MARK EOwnerVP OPERATIONS, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← THE INDEPENDENT ORDER OF FORESTERS ("IOF")OwnerOWNER, ownership code E, foreign entity
Mar 28, 2013 to presentfactForm ADV

Registered with (63)

← Laura Ann MalechukAdvisorregistration: previous registration
Oct 27, 2015 to Dec 13, 2018factForm ADV
← JASON HARRIS GERBAdvisorregistration: previous registration
Jun 23, 2015 to Dec 13, 2018factForm ADV
← STEPHANIE ANN POCHEAdvisorregistration: previous registration
Jan 13, 2015 to Dec 13, 2018factForm ADV
← ALAN STEPHEN PRANSKYAdvisorregistration: previous registration
May 28, 2013 to Nov 30, 2018factForm ADV
← ROBERT PHILLIP WOLFAdvisorregistration: previous registration
Oct 29, 2010 to Nov 8, 2018factForm ADV
← HELEN JULIA DAVISAdvisorregistration: previous registration
Oct 15, 2008 to Nov 8, 2018factForm ADV
← KEITH ALAN GEORGEAdvisorregistration: previous registration
Sep 18, 2015 to Nov 8, 2018factForm ADV
← JOHN MICHAEL DERBINAdvisorregistration: previous registration
Jun 16, 2011 to Nov 8, 2018factForm ADV
← ABISOLA M FADAYOMIAdvisorregistration: previous registration
Nov 15, 2017 to Nov 8, 2018factForm ADV
← ANDREA BOND JOHNSONAdvisorregistration: previous registration
Jul 21, 2015 to Nov 8, 2018factForm ADV
← Christy B. DownsAdvisorregistration: previous registration
Jun 11, 2012 to Nov 8, 2018factForm ADV
← Bradley Alan MorrisAdvisorregistration: previous registration
Aug 21, 2017 to Nov 7, 2018factForm ADV
← Richard Hughes Von HurstAdvisorregistration: previous registration
Feb 2, 2017 to Nov 7, 2018factForm ADV
← NANCY MARIE HAIRSINEAdvisorregistration: previous registration
Sep 23, 2008 to Nov 7, 2018factForm ADV
← STEVEN ROGER CROSSAdvisorregistration: previous registration
Jan 5, 2016 to Nov 6, 2018factForm ADV
← ANTHONY JAMES CONSTANTINEAdvisorregistration: previous registration
Jan 4, 2011 to Nov 6, 2018factForm ADV
← CHRISTOPHER TODD LOGUEAdvisorregistration: previous registration
Aug 25, 2014 to Nov 6, 2018factForm ADV
← THOMAS HAINES LUCKENBILLAdvisorregistration: previous registration
Jul 8, 2016 to Nov 6, 2018factForm ADV
← MATTHEW BAIRD TRENCHARDAdvisorregistration: previous registration
Mar 10, 2011 to Nov 6, 2018factForm ADV
← Andre Normand CoulombeAdvisorregistration: previous registration
Jun 14, 2016 to Nov 6, 2018factForm ADV
← JEREMY BENJAMIN GOLDSTEINAdvisorregistration: previous registration
Jun 22, 2015 to Nov 5, 2018factForm ADV
← RUSSELL GEORGE LUCEAdvisorregistration: previous registration
Sep 12, 2008 to Nov 5, 2018factForm ADV
← GERALD JEFFRY PLACHTAAdvisorregistration: previous registration
Mar 24, 2012 to Nov 5, 2018factForm ADV
← SAMUEL GEORGE WHITEAdvisorregistration: previous registration
Jan 9, 2014 to Nov 5, 2018factForm ADV
← JOHN G RHODEAdvisorregistration: previous registration
May 3, 2016 to Nov 5, 2018factForm ADV
← Alan Bart McClureAdvisorregistration: previous registration
Sep 30, 2016 to Nov 5, 2018factForm ADV
← Paul Michael BalogAdvisorregistration: previous registration
Sep 5, 2013 to Nov 1, 2018factForm ADV
← MARK S WASKOWAdvisorregistration: previous registration
Jun 5, 2015 to Nov 1, 2018factForm ADV
← DAVID EDWARD HOWARDAdvisorregistration: previous registration
Apr 22, 2015 to Nov 1, 2018factForm ADV
← GILBERT LANCE TALBERTAdvisorregistration: previous registration
Jan 4, 2017 to Nov 1, 2018factForm ADV
and 33 more

Moved with (3)

→ LIFEMARK SECURITIES CORP.Registered adviser3 advisors, team lift out
Nov 6, 2018 to Dec 6, 2018factForm ADV
→ PACKERLAND BROKERAGE SERVICES, INC.Registered adviser7 advisors, team lift out
Oct 10, 2018 to Oct 31, 2018factForm ADV
→ CROWN CAPITAL SECURITIES, L.P.Registered adviser2 advisors, team lift out
Sep 10, 2018 to Sep 21, 2018factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 28, 2013
First Form ADV filing
Foresters Equity Services, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Show 1 bookkeeping events

Occurred
Mar 27, 2018
Foresters Equity Services, Inc. reported 108 state-registered advisory representatives, down from 135 (2017-06-27 to 2018-03-27)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d9ba4446-d2ba-a320-4e2a-1d640d6ba49b
First observed: Mar 28, 2013
Last observed: May 14, 2018 101 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 EQUITY SERVICES, INC.

CRD 18464

SAN DIEGO, CA

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:d9ba4446-d2ba-a320-4e2a-1d640d6ba49b

Data as of May 14, 2018 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:03 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GERB, JASON HARRIS

CHIEF COMPLIANCE OFFICER

yes

06/2015

Jul 8, 2015

May 14, 2018

GIL, JUDITH ELAINE

VICE PRESIDENT COMPLIANCE

yes

03/2012

Mar 28, 2013

May 14, 2018

MALECHUK, LAURA ANN

FINANCIAL OPERATIONS PRINCIPAL

yes

10/1998

Mar 28, 2013

May 14, 2018

MCDONOUGH, MARK E

VP OPERATIONS

yes

06/2007

Mar 28, 2013

May 14, 2018

REABURN, PAUL DOUGLAS

Director

yes

08/2012

Mar 28, 2013

May 14, 2018

SMITH, FRANK LEO

President

yes

08/2005

Mar 28, 2013

May 14, 2018

THE INDEPENDENT ORDER OF FORESTERS ("IOF")

Owner

yes

05/1986

Mar 28, 2013

May 14, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FORESTERS INVESTMENT MANAGEMENT COMPANY, INC.

n/a

Former SEC adviser

$15B

yes

n/a

FORESTERS ADVISORY SERVICES, LLC

n/a

Former SEC adviser

$2.4B

yes

n/a

FORESTERS ASSET MANAGEMENT

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

THE INDEPENDENT ORDER OF FORESTERS

n/a

City

State

Country

Employees

Also broker-dealer

n/a

yes

Livonia

United States

yes

n/a

yes

Pittsburg

United States

yes

Valencia

United States

yes

SAN DIEGO

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 27, 2018

$22.2M

108

n/a

2016

Feb 15, 2017

$16.0M

135

n/a

2015

Mar 30, 2016

$10.8M

120

n/a

2014

Apr 20, 2015

$8.3M

113

110

n/a

2013

Mar 17, 2014

$5.6M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$22.2M

$16.0M

38.4%

$8.3M

38.7%

108

135

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LIFEMARK SECURITIES CORP.

Nov 6, 2018

Dec 6, 2018

PITTSBURG, CA

Team lift out

Ibd to RIA

15.0%

LIFEMARK SECURITIES CORP.

Nov 6, 2018

Nov 14, 2018

CONCORD, OH

Team lift out

Ibd to RIA

15.0%

LIFEMARK SECURITIES CORP.

Nov 1, 2018

Nov 5, 2018

LIVONIA, MI

Team lift out

Ibd to RIA

12.5%

LIFEMARK SECURITIES CORP.

Oct 29, 2018

Dec 6, 2018

OCALA, FL

Team lift out

Ibd to RIA

23.1%

LIFEMARK SECURITIES CORP.

Oct 24, 2018

Nov 20, 2018

MARLTON, NJ

Team lift out

Ibd to RIA

9.8%

PACKERLAND BROKERAGE SERVICES, INC.

Oct 10, 2018

Oct 31, 2018

CITY OF INDUSTRY, CA

Team lift out

Ibd to RIA

13.2%

CROWN CAPITAL SECURITIES, L.P.

Sep 10, 2018

Sep 21, 2018

VALENCIA, CA

Team lift out

Ibd to RIA

3.5%