DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Foresters Advisory Services, LLC

Former SEC-registered adviserNew York, New YorkCRD 164663SEC 801-76877IAPD
Latest filing Jun 26, 2019
First filing on the tape Jun 28, 2012 · 23 filings
RAUM
$2.4B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$2.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
372
349 advisory (5.B.1)
Offices
46
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$2.4B as of Mar 22, 2019
Jan 15, 2013$71.3M then
HNW client RAUM: $72.9M
State-registered IARs (5.B.3)372 as of Mar 22, 2019
Jan 15, 2013100 then
Employees (5.A)372 as of Mar 22, 2019
Jan 15, 2013100 then
Private funds: no history
RAUM +18% over the last fiscal year+35% a year over threeIARs 378 to 372
Practice profile
derived from the filing of Jun 26, 2019; every figure names its basis
RAUM per advisor
$6.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
37derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$175,038derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
7.9derived47 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
-1.6%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
$4.9BreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$2.4B97%
  • High-net-worth individuals$72.9M3.0%
  • Corporations and businesses$5.2M0.2%
  • Charitable organizations$2.3M0.1%
Individual clients
13,847reported
HNW clients
53reported
Pension plan clients
n/areported
Charitable clients
7reported
Accounts
13,920reported
Financial planning clients
n/areported
Wrap fee programs
$2.4B sponsored, $2.4B managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Xavier Francis Gannon · Chief Financial Officercontrol
      since 04/2013 · owns less than 5%
    • Harris Jason Gerb · Chief Compliance Officercontrol
      since 12/2013 · owns less than 5%
    • E Blake Moore · President And Member Of The Board Of Managerscontrol
      since 02/2018 · owns less than 5%
    Entity owners
    • Foresters Financial Holding Company, Inc. · Member And Holding Company
      direct · owns 75% or more
    • The Independent Order Of Foresters · Owner - Fraternal Benefits Society
      indirect · owns 75% or more of Foresters Financial Holding Company, Inc.
    Related persons
    Schedule D 7.A
    Advisers that list Foresters Advisory Services, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Beaverton, OR21 employees
    • Edison, NJ20 employees
    • Lombard, IL19 employees
    • Latham, NY16 employees
    • New York, NY16 employees
    • Phoenix, AZ16 employees
    • San Diego, CA15 employees
    • East Hartford, CT14 employees
    • Monrovia, CA12 employees
    • Cheektowaga, NY12 employees
    • Pearl River, NY11 employees
    • Iselin, NJ11 employees
    • Indianapolis, IN10 employees
    • Westbury, NY10 employees
    • Fort Worth, TX9 employees
    • Edina, MN9 employees
    • Canonsburg, PA9 employees
    • North Haven, CT8 employees
    • Renton, WA8 employees
    • Lexington, KY8 employees
    • Atlanta, GA8 employees
    • Denver, CO8 employees
    • New York, NY8 employees
    • Glen Allen, VA8 employees
    • Fairport, NY7 employees
    What changed
    consecutive filings, newest first
    • Accounts · 11,006 to 13,920
      Nov 23, 2018 to Mar 22, 2019
    • Advisory employees · 356 to 349
      Nov 23, 2018 to Mar 22, 2019
    • BD registered reps · 377 to 372
      Nov 23, 2018 to Mar 22, 2019
    • Charity clients · 6 to 7
      Nov 23, 2018 to Mar 22, 2019
    • Corporate clients · 11 to 13
      Nov 23, 2018 to Mar 22, 2019
    • HNW clients · unset to 53.0
      Nov 23, 2018 to Mar 22, 2019
    • Individual clients · 10,989 to 13,847
      Nov 23, 2018 to Mar 22, 2019
    • Employees · 378 to 372
      Nov 23, 2018 to Mar 22, 2019
    • State-registered IARs · 378 to 372
      Nov 23, 2018 to Mar 22, 2019
    • HNW RAUM · unset to 72860732.0
      Nov 23, 2018 to Mar 22, 2019
    • Individual RAUM · $2.1B to $2.4B
      Nov 23, 2018 to Mar 22, 2019
    • Non-discretionary RAUM · $2.1B to $2.4B
      Nov 23, 2018 to Mar 22, 2019
    • RAUM · $2.1B to $2.4B
      Nov 23, 2018 to Mar 22, 2019
    • Wrap assets (manager) · $2.1B to $2.4B
      Nov 23, 2018 to Mar 22, 2019
    • Wrap assets (sponsor) · $2.1B to $2.4B
      Nov 23, 2018 to Mar 22, 2019
    • Accounts · 7,800 to 11,006
      Jun 21, 2017 to Mar 22, 2018
    • Advisory employees · 305 to 356
      Jun 21, 2017 to Mar 22, 2018
    • BD registered reps · 300 to 377
      Jun 21, 2017 to Mar 22, 2018
    • Charity clients · unset to 6.0
      Jun 21, 2017 to Mar 22, 2018
    • Corporate clients · unset to 11.0
      Jun 21, 2017 to Mar 22, 2018
    • Individual clients · unset to 10989.0
      Jun 21, 2017 to Mar 22, 2018
    • Employees · 325 to 378
      Jun 21, 2017 to Mar 22, 2018
    • State-registered IARs · 300 to 378
      Jun 21, 2017 to Mar 22, 2018
    • Other offices · unset to 46.0
      Jun 21, 2017 to Mar 22, 2018
    • Individual RAUM · unset to 2061961205.0
      Jun 21, 2017 to Mar 22, 2018
    • Non-discretionary RAUM · $1.5B to $2.1B
      Jun 21, 2017 to Mar 22, 2018
    • RAUM · $1.5B to $2.1B
      Jun 21, 2017 to Mar 22, 2018
    • Wrap assets (manager) · unset to 2068794471.0
      Jun 21, 2017 to Mar 22, 2018
    • Wrap assets (sponsor) · unset to 2068794471.0
      Jun 21, 2017 to Mar 22, 2018
    • Accounts · 5,500 to 7,800
      Jan 6, 2017 to Mar 31, 2017
    • Advisory employees · 237 to 305
      Jan 6, 2017 to Mar 31, 2017
    • BD registered reps · 247 to 300
      Jan 6, 2017 to Mar 31, 2017
    • Employees · 247 to 325
      Jan 6, 2017 to Mar 31, 2017
    • State-registered IARs · 236 to 300
      Jan 6, 2017 to Mar 31, 2017
    • Non-discretionary RAUM · $996M to $1.5B
      Jan 6, 2017 to Mar 31, 2017
    • RAUM · $996M to $1.5B
      Jan 6, 2017 to Mar 31, 2017
    • Accounts · 4,600 to 5,500
      Sep 21, 2015 to Mar 21, 2016
    • Advisory employees · 228 to 237
      Sep 21, 2015 to Mar 21, 2016
    • BD registered reps · 238 to 247
      Sep 21, 2015 to Mar 21, 2016
    • Business name · FIRST INVESTORS ADVISORY SERVICES, LLC to FORESTERS ADVISORY SERVICES, LLC
      Sep 21, 2015 to Mar 21, 2016
    Signals
    5 dated events
    • Dean George Karris (Senior Vice President) no longer on Schedule A of Foresters Advisory Services, Llc (listed 2019-03-22, absent 2019-06-26)
      Jun 26, 2019 · Control person left · inference
    • Daniel James Macey (Director Of Multi-Asset Portfolio Management) no longer on Schedule A of Foresters Advisory Services, Llc (listed 2019-03-22, absent 2019-06-26)
      Jun 26, 2019 · Control person left · inference
    • Foresters Advisory Services, Llc reported 378 state-registered advisory representatives, up from 300 (2017-06-21 to 2018-03-22)
      Mar 22, 2018 · Advisor headcount change · derived
    • Foresters Advisory Services, Llc reported RAUM $2.1B, up 39% from $1.5B (2017-06-21 to 2018-03-22)
      Mar 22, 2018 · RAUM change · derived
    • First Investors Advisory Services, Llc filed its initial SEC registration (Form ADV)
      Jun 28, 2012 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026