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 Investment Management Company, Inc.

Former SEC-registered adviserNew York, New YorkCRD 1844SEC 801-7885IAPD
Latest filing Mar 29, 2019
First filing on the tape Dec 23, 2011 · 18 filings
RAUM
$15B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
67
29 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$15B as of Mar 29, 2019
Mar 30, 2012$7.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20120 then
Employees (5.A)67 as of Mar 29, 2019
Apr 1, 201351 then
Private funds: no history
RAUM -9.0% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$386MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$12B75%
  • Insurance companies$3.9B25%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
40reported
Financial planning clients
n/areported
Wrap fee programs
noreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      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%
      • Steven Marc Milgram · Chief Compliance Officercontrol
        since 11/2010 · owns less than 5%
      • E Blake Moore · Chairmancontrol
        since 02/2018 · owns less than 5%
      • David Clark Wagner · Chief Investment Officercontrol
        since 02/2018 · owns less than 5%
      Entity owners
      • Foresters Financial Holding Company, Inc. · Holding Company
        direct · owns 75% or more
      • The Independent Order Of Foresters · Owner
        indirect · owns 75% or more of Foresters Financial Holding Company, Inc.
      Related persons
      Schedule D 7.A
      Advisers that list Foresters Investment Management Company, Inc. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 54 to 40
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 25 to 29
        Mar 29, 2018 to Mar 29, 2019
      • Employees · 65 to 67
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $17B to $15B
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $17B to $15B
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 22 to 25
        Jun 19, 2017 to Mar 29, 2018
      • BD registered reps · 12 to 11
        Jun 19, 2017 to Mar 29, 2018
      • Employees · 72 to 65
        Jun 19, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jun 19, 2017 to Mar 29, 2018
      • Discretionary RAUM · $15B to $17B
        Jun 19, 2017 to Mar 29, 2018
      • RAUM · $15B to $17B
        Jun 19, 2017 to Mar 29, 2018
      • Accounts · 49 to 54
        May 26, 2016 to Mar 31, 2017
      • Advisory employees · 31 to 22
        May 26, 2016 to Mar 31, 2017
      • BD registered reps · 11 to 12
        May 26, 2016 to Mar 31, 2017
      • Employees · 67 to 72
        May 26, 2016 to Mar 31, 2017
      • Discretionary RAUM · $11B to $15B
        May 26, 2016 to Mar 31, 2017
      • RAUM · $11B to $15B
        May 26, 2016 to Mar 31, 2017
      • Accounts · 46 to 49
        Sep 21, 2015 to Mar 30, 2016
      • Advisory employees · 19 to 31
        Sep 21, 2015 to Mar 30, 2016
      • BD registered reps · 10 to 11
        Sep 21, 2015 to Mar 30, 2016
      • Employees · 57 to 67
        Sep 21, 2015 to Mar 30, 2016
      • Discretionary RAUM · $11B to $11B
        Sep 21, 2015 to Mar 30, 2016
      • RAUM · $11B to $11B
        Sep 21, 2015 to Mar 30, 2016
      • Business name · FIRST INVESTORS MANAGEMENT CO INC to FORESTERS INVESTMENT MANAGEMENT COMPANY, INC.
        Sep 21, 2015 to Sep 21, 2015
      • Legal name · FIRST INVESTORS MANAGEMENT COMPANY, INC. to FORESTERS INVESTMENT MANAGEMENT COMPANY, INC.
        Sep 21, 2015 to Sep 21, 2015
      • Accounts · 44 to 46
        Jun 30, 2014 to Mar 31, 2015
      • Advisory employees · 17 to 19
        Jun 30, 2014 to Mar 31, 2015
      • BD registered reps · 11 to 10
        Jun 30, 2014 to Mar 31, 2015
      • Employees · 56 to 57
        Jun 30, 2014 to Mar 31, 2015
      • Discretionary RAUM · $10B to $11B
        Jun 30, 2014 to Mar 31, 2015
      • RAUM · $10B to $11B
        Jun 30, 2014 to Mar 31, 2015
      • Accounts · 42 to 44
        Oct 1, 2013 to Mar 28, 2014
      • Advisory employees · 13 to 17
        Oct 1, 2013 to Mar 28, 2014
      • BD registered reps · 7 to 11
        Oct 1, 2013 to Mar 28, 2014
      • Employees · 51 to 56
        Oct 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $8.6B to $10B
        Oct 1, 2013 to Mar 28, 2014
      • RAUM · $8.6B to $10B
        Oct 1, 2013 to Mar 28, 2014
      • Accounts · 39 to 42
        Jan 2, 2013 to Apr 1, 2013
      • Advisory employees · 12 to 13
        Jan 2, 2013 to Apr 1, 2013
      • Employees · 46 to 51
        Jan 2, 2013 to Apr 1, 2013
      Signals
      No event on the tape.
      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