UNIVERSAL VALUE ADVISORS

ANCORA WEST ADVISORS, LLC Legal Name

Adviser information for UNIVERSAL VALUE ADVISORS last updated from Form ADV on March 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Nevada, United States

Employees

Total Number of Employees 3
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 3
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1 $45.1M
Non-Discretionary 0 $0
Total 1 $45.1M

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 1 $45.1M
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for investment companies
Compensation % of AUM

Identifiers

SEC RIA File Number 801-108879
SEC ERA File Number 801-108879
SEC CIK Numbers None
SEC CRD Numbers 285644
Legal Entity Identifier None

Principal Office

1 EAST LIBERTY STREET, SUITE 406
RENO
NV
United States
Monday - Friday, 9:00 AM - 4:00 PM
Tel: 775-284-7778, Fax: 775-284-7779

Chief Compliance Officer

JOSHUA BARONE
MANAGING MEMBER
1 E. LIBERTY STREET
SUITE 406
RENO
NV
United States
Tel: 775-284-7778
Fax: 775-284-7779
(Full email address available in API data)

Regulatory Contact

ROBERT BARONE
MEMBER
1 E. LIBERTY STREET
SUITE 406
RENO
NV
United States
Tel: 775-284-7778
Fax: 775-284-7779
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
BARONE, JOSHUA, ANTHONY Individual CHIEF COMPLIANCE OFFICER, MANAGING MEMBER 10/2005 25-50%
BARONE LIQUIDITY INVESTMENTS, LLC Domestic Entity MEMBER 10/2005 50-75%
BARONE, ROBERT, NICHOLAS Individual BARONE LIQUIDITY INVESTMENTS, LLC MANAGING MEMBER 06/1999

No. Employees, Historic

10502020202120222023202420253 on 3/18/20203 on 3/3/20213 on 3/31/20213 on 3/8/20223 on 11/4/20223 on 3/27/20233 on 3/14/2024

RAUM, Historic

90M45M020202021202220232024202551126727 on 3/18/202077813837 on 3/3/202177813837 on 3/31/202188999828 on 3/8/202288999828 on 11/4/202284560736 on 3/27/202345141673 on 3/14/2024

No. Clients, Historic

10502020202120222023202420251 on 3/18/20201 on 3/3/20211 on 3/31/20211 on 3/8/20221 on 11/4/20221 on 3/27/20231 on 3/14/2024