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 Equity Services, Inc.

Former SEC-registered adviserSan Diego, CaliforniaCRD 18464SEC 801-77880IAPD
Latest filing May 14, 2018
First filing on the tape Mar 28, 2013 · 19 filings
RAUM
$22.2M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$22.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
108
108 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$22.2M as of Mar 27, 2018
Mar 17, 2014$5.6M then
HNW client RAUM: $0
State-registered IARs (5.B.3)108 as of Mar 27, 2018
Mar 17, 201491 then
Employees (5.A)108 as of Mar 27, 2018
Mar 17, 201491 then
Private funds: no history
RAUM +38% over the last fiscal year+39% a year over threeIARs 135 to 108
Practice profile
derived from the filing of May 14, 2018; every figure names its basis
RAUM per advisor
$205,249derivedRAUM over IAPD advisors; not a book size
Clients per advisor
2derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$84,607derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
15.4derived7 offices incl. principal (1.F.5)
RAUM growth, one year
+38%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$22.2M100%
Individual clients
219reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
262reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
    • Jason Harris Gerb · Chief Compliance Officercontrol
      since 06/2015 · owns less than 5%
    • Judith Elaine Gil · Vice President Compliancecontrol
      since 03/2012 · owns less than 5%
    • Laura Ann Malechuk · Financial Operations Principalcontrol
      since 10/1998 · owns less than 5%
    • Mark E Mcdonough · Vp Operationscontrol
      since 06/2007 · owns less than 5%
    • Paul Douglas Reaburn · Directorcontrol
      since 08/2012 · owns less than 5%
    • Frank Leo Smith · Presidentcontrol
      since 08/2005 · owns less than 5%
    Entity owners
    • The Independent Order Of Foresters ("Iof") · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list Foresters Equity Services, Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • , 21 employees
    • Livonia, MI16 employees
    • , 15 employees
    • Pittsburg, CA12 employees
    • Valencia, CA12 employees
    • San Diego, CA5 employees
    What changed
    consecutive filings, newest first
    • Accounts · 181 to 262
      Jun 27, 2017 to Mar 27, 2018
    • Advisory employees · 135 to 108
      Jun 27, 2017 to Mar 27, 2018
    • BD registered reps · 132 to 107
      Jun 27, 2017 to Mar 27, 2018
    • Charity clients · unset to 0.0
      Jun 27, 2017 to Mar 27, 2018
    • Corporate clients · unset to 0.0
      Jun 27, 2017 to Mar 27, 2018
    • HNW clients · unset to 0.0
      Jun 27, 2017 to Mar 27, 2018
    • Individual clients · unset to 219.0
      Jun 27, 2017 to Mar 27, 2018
    • Pension plan clients · unset to 0.0
      Jun 27, 2017 to Mar 27, 2018
    • Pooled vehicle clients · unset to 0.0
      Jun 27, 2017 to Mar 27, 2018
    • Employees · 135 to 108
      Jun 27, 2017 to Mar 27, 2018
    • Insurance-licensed employees · 1 to 0
      Jun 27, 2017 to Mar 27, 2018
    • Financial planning clients · 51-100 to 26-50
      Jun 27, 2017 to Mar 27, 2018
    • State-registered IARs · 135 to 108
      Jun 27, 2017 to Mar 27, 2018
    • Other offices · unset to 6.0
      Jun 27, 2017 to Mar 27, 2018
    • HNW RAUM · unset to 0.0
      Jun 27, 2017 to Mar 27, 2018
    • Individual RAUM · unset to 22166904.0
      Jun 27, 2017 to Mar 27, 2018
    • Non-discretionary RAUM · $16.0M to $22.2M
      Jun 27, 2017 to Mar 27, 2018
    • Pension RAUM · unset to 0.0
      Jun 27, 2017 to Mar 27, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Jun 27, 2017 to Mar 27, 2018
    • RAUM · $16.0M to $22.2M
      Jun 27, 2017 to Mar 27, 2018
    • Accounts · 125 to 181
      Aug 26, 2016 to Feb 15, 2017
    • Advisory employees · 120 to 135
      Aug 26, 2016 to Feb 15, 2017
    • BD registered reps · 116 to 132
      Aug 26, 2016 to Feb 15, 2017
    • Employees · 120 to 135
      Aug 26, 2016 to Feb 15, 2017
    • Financial planning clients · More than 500 to 51-100
      Aug 26, 2016 to Feb 15, 2017
    • State-registered IARs · 120 to 135
      Aug 26, 2016 to Feb 15, 2017
    • Non-discretionary RAUM · $13.1M to $16.0M
      Aug 26, 2016 to Feb 15, 2017
    • RAUM · $13.1M to $16.0M
      Aug 26, 2016 to Feb 15, 2017
    • Non-discretionary RAUM · $10.8M to $13.1M
      Mar 30, 2016 to Aug 26, 2016
    • RAUM · $10.8M to $13.1M
      Mar 30, 2016 to Aug 26, 2016
    • BD registered reps · 113 to 116
      Sep 22, 2015 to Mar 30, 2016
    • Employees · 113 to 120
      Sep 22, 2015 to Mar 30, 2016
    • Insurance-licensed employees · 2 to 1
      Sep 22, 2015 to Mar 30, 2016
    • Financial planning clients · 251-500 to More than 500
      Sep 22, 2015 to Mar 30, 2016
    • State-registered IARs · 110 to 120
      Sep 22, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $8.3M to $10.8M
      Sep 22, 2015 to Mar 30, 2016
    • RAUM · $8.3M to $10.8M
      Sep 22, 2015 to Mar 30, 2016
    • Accounts · 83 to 125
      Sep 22, 2015 to Mar 30, 2016
    • Advisory employees · 110 to 120
      Sep 22, 2015 to Mar 30, 2016
    • Accounts · 51 to 83
      Mar 17, 2014 to Mar 13, 2015
    Signals
    2 dated events
    • Foresters Equity Services, Inc. reported 108 state-registered advisory representatives, down from 135 (2017-06-27 to 2018-03-27)
      Mar 27, 2018 · Advisor headcount change · derived
    • Foresters Equity Services, Inc. filed its initial SEC registration (Form ADV)
      Mar 28, 2013 · 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