Hedge Fund Database

ANCORA FAMILY WEALTH ADVISORS, LLC

Adviser information for ANCORA FAMILY WEALTH ADVISORS, LLC last updated from Form ADV on March 5th, 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 Ohio, United States

Employees

Total Number of Employees 65
Investment Advisory/Research 37
Registered Broker-Dealer Representatives 37
Registered State Investment Advisers 18
Licensed Agents of an Insurance Company 15
No. of Firms/People that Solicit Clients 5

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,811 $2.7B
Non-Discretionary 2 $12.7M
Total 3,813 $2.7B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 3,717 $2.6B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 29 $38.0M
Charitable organizations 26 $14.7M
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 41 $90.5M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)INSURANCE & CREDIT AND CASH MANAGEMENT SOLUTIONS
Compensation % of AUMFixed feesPerformance-based feesREVENUE SHARING WITH FRS, AND ON CREDIT AND CASH MGMT SOLUTIONS
Other Business Activities INSURANCE & CREDIT AND CASH MANAGEMENT SOLUTIONS

Identifiers

SEC RIA File Number 801-61942
SEC ERA File Number 801-61942
SEC CIK Numbers 1657660
SEC CRD Numbers 124845
Legal Entity Identifier None

Principal Office

6060 PARKLAND BOULEVARD
SUITE 200
CLEVELAND
OH
United States
Monday - Friday, 8-6 PM
Tel: 216-825-4000, Fax: 216-825-4010

Websites

www.ancora.net www.linkedin.com/company/ancora-holdings www.invernesswealth.com twitter.com/ancoraadvisors focusfinancialpartners.com www.linkedin.com/company/2064318/ twitter.com/focusfinancial

Chief Compliance Officer

JASON GEERS
CHIEF COMPLIANCE OFFICER
6060 PARKLAND BOULEVARD
SUITE 200
CLEVELAND
OH
United States
Tel: 216-593-5020
Fax: 216-593-5120
(Full email address available in API data)

Industry Affiliates

ANCORA ADVISORS LLC Other investment adviser, including financial planners
ANCORA ALTERNATIVES LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
ANCORA INSURANCE SOLUTIONS Insurance company or agency
ANCORA RETIREMENT PLAN ADVISORS, LLC Other investment adviser, including financial plannersPension consultant
FOCUS RISK SOLUTIONS Insurance company or agency
INVERNESS LIFE SERVICES LLC Insurance company or agency
INVERNESS SECURITIES, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency
SOURCE INSURANCE Insurance company or agency

Private Funds

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

Control Persons

Name Type Entity Title Since Ownership
INVERNESS HOLDINGS LLC Domestic Entity – MEMBER 09/2009 > 75%
ANCORA HOLDINGS GROUP, LLC Domestic Entity INVERNESS HOLDINGS LLC MEMBER (MANAGER) 10/2021 > 75%
DISANTO, FREDERICK, DAVID Individual – CHAIRMAN & CHIEF EXECUTIVE OFFICER 12/2015 < 5%
MICKLITSCH, JOHN, PEWTERS Individual – CHIEF INVESTMENT OFFICER 12/2015 < 5%
GEERS, JASON, P Individual – CHIEF COMPLIANCE OFFICER 06/2016 < 5%
FOCUS FINANCIAL PARTNERS INC. Domestic Entity FOCUS FINANCIAL PARTNERS, LLC MEMBER 07/2018 > 75%
FOCUS FINANCIAL PARTNERS, LLC Domestic Entity FOCUS OPERATING, LLC MEMBER 01/2007 > 75%
FOCUS OPERATING, LLC Domestic Entity ANCORA HOLDINGS GROUP, LLC MEMBER (MANAGER) 10/2021 > 75%
BARTELS, JOHN, GREGORY Individual – PRESIDENT 01/2022 < 5%
Garrett, Brittney, Jean Individual – CHIEF FINANCIAL OFFICER 12/2020 < 5%
FERDINAND FFP ACQUISITION, LLC Domestic Entity FOCUS FINANCIAL PARTNERS INC. SHAREHOLDER, CLASS A COMMON STOCK 08/2023 > 75%
FERDINAND FFP ULTIMATE HOLDINGS, LP Domestic Entity FOCUS FINANCIAL PARTNERS INC. SHAREHOLDER, CLASS B COMMON STOCK 08/2023 > 75%
FERDINAND FFP INTERMEDIATE HOLDINGS, LLC Domestic Entity FERDINAND FFP ACQUISITION, LLC MEMBER 08/2023 > 75%
FERDINAND FFP PARENT, INC. Domestic Entity FERDINAND FFP INTERMEDIATE HOLDINGS, LLC MEMBER 08/2023 > 75%
FERDINAND FFP ULTIMATE HOLDINGS, LP Domestic Entity FERDINAND FFP PARENT, INC. SHAREHOLDER 08/2023 > 75%
CD&R FERDINAND HOLDINGS, L.P. Domestic Entity FERDINAND FFP ULTIMATE HOLDINGS, LP PARTNER 08/2023 50-75%
CD&R FERDINAND CO-INVESTOR, L.P. Foreign Entity CD&R FERDINAND HOLDINGS, L.P. PARTNER 08/2023 25-50%
CLAYTON, DUBILIER & RICE FUND XII, L.P. Foreign Entity CD&R FERDINAND HOLDINGS, L.P. PARTNER 08/2023 50-75%

No. Employees, Historic

7035020202021202220232024202553 on 3/31/202053 on 6/24/202062 on 3/31/202162 on 11/1/202162 on 3/24/202262 on 3/30/202362 on 9/15/202362 on 9/15/202362 on 9/21/202362 on 9/21/202362 on 9/25/202365 on 3/5/2024

RAUM, Historic

3B2B02020202120222023202420251709748745 on 3/31/20201709748745 on 6/24/20201983664519 on 3/31/20211983664519 on 11/1/20212449637053 on 3/24/20222258611511 on 3/30/20232258611511 on 9/15/20232258611511 on 9/15/20232258611511 on 9/21/20232258611511 on 9/21/20232258611511 on 9/25/20232708839827 on 3/5/2024

No. Clients, Historic

4,0002,00002020202120222023202420252436 on 3/31/20202436 on 6/24/20202684 on 3/31/20212684 on 11/1/20213025 on 3/24/20223474 on 3/30/20233474 on 9/15/20233474 on 9/15/20233474 on 9/21/20233474 on 9/21/20233474 on 9/25/20233813 on 3/5/2024

Holdings

From latest 13F, filed November 4th, 2016 for period ending September 30th, 2016
Name Class Value $USD # Shares Private Fund
AT&T INC COM 4K 87K –
ABBOTT LABS COM 2K 37K –
ABBVIE INC COM 2K 27K –
ADAM NAT RES FD INC COM 2K 95K –
ALLIANZGI NFJ DIVID INT & PR COM 999 79K –
ALPHABET INC CAP STK CL C 4K 5K –
ALPHABET INC CAP STK CL A 2K 3K –
ALPINE GLOBAL PREMIER PPTYS COM SBI 672 121K –
ALTRIA GROUP INC COM 960 15K –
AMAZON COM INC COM 2K 2K –
AMERICAN ELEC PWR INC COM 402 6K –
AMERISOURCEBERGEN CORP COM 425 5K –
AMGEN INC COM 323 2K –
ANDERSONS INC COM 438 12K –
APACHE CORP COM 2K 30K –
APPLE INC COM 9K 75K –
ARES CAP CORP COM 4K 255K –
ATHERSYS INC COM 82 38K –
AUTOMATIC DATA PROCESSING IN COM 771 9K –
BP PLC SPONSORED ADR 566 16K –
BANK AMER CORP COM 161 10K –
BECTON DICKINSON & CO COM 813 5K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 5K 32K –
BIOGEN INC COM 2K 5K –
BLACKROCK INC COM 295 815 –
BLACKROCK GLOBAL OPP EQTY TR COM 230 19K –
BLACKSTONE GROUP L P COM UNIT LTD 2K 80K –
BOEING CO COM 284 2K –
BOULDER GROWTH & INCOME FD I COM 184 22K –
BRISTOL MYERS SQUIBB CO COM 726 13K –
BROOKFIELD ASSET MGMT INC CL A LTD VT SH 1K 33K –
BUCKEYE PARTNERS L P UNIT LTD PARTN 2K 21K –
CSX CORP COM 2K 71K –
CVS HEALTH CORP COM 2K 27K –
CATERPILLAR INC DEL COM 284 3K –
CENTRAL FED CORP COM NEW 624 442K –
CERNER CORP COM 2K 32K –
CHEVRON CORP NEW COM 6K 59K –
CINCINNATI FINL CORP COM 881 12K –
CISCO SYS INC COM 976 31K –
COCA COLA CO COM 780 18K –
COGNIZANT TECHNOLOGY SOLUTIO CL A 821 17K –
COHEN & STEERS INFRASTRUCTUR COM 655 30K –
COLGATE PALMOLIVE CO COM 584 8K –
COMCAST CORP NEW CL A 2K 23K –
CONAGRA FOODS INC COM 217 5K –
CONOCOPHILLIPS COM 1K 30K –
COPART INC COM 410 8K –
CORNING INC COM 621 26K –
COSTCO WHSL CORP NEW COM 1K 8K –
DANAHER CORP DEL COM 319 4K –
DEERE & CO COM 407 5K –
DIAGEO P L C SPON ADR NEW 3K 22K –
DISNEY WALT CO COM DISNEY 3K 27K –
DOMINION RES INC VA NEW COM 970 13K –
DOW CHEM CO COM 1K 29K –
DU PONT E I DE NEMOURS & CO COM 780 12K –
DUKE ENERGY CORP NEW COM NEW 264 3K –
EOG RES INC COM 210 2K –
EATON VANCE TAX MNGD GBL DV COM 509 59K –
EATON VANCE RISK MNGD DIV EQ COM 214 23K –
EATON VANCE NATL MUN OPPORT COM SHS 1K 61K –
ENERGY TRANSFER EQUITY L P COM UT LTD PTN 292 17K –
ENTERPRISE PRODS PARTNERS L COM 3K 99K –
EQUIFAX INC COM 1K 8K –
EXPEDITORS INTL WASH INC COM 1K 21K –
EXPRESS SCRIPTS HLDG CO COM 5K 70K –
EXXON MOBIL CORP COM 6K 74K –
FNB CORP PA COM 129 11K –
FACEBOOK INC CL A 337 3K –
FIRST TR MORNINGSTAR DIV LEA SHS 1K 45K –
FIRST TR MULTI CP VAL ALPHA COM SHS 205 4K –
FIRST TR LRGE CP CORE ALPHA COM SHS 2K 40K –
FLUOR CORP NEW COM 697 14K –
FORTUNE BRANDS HOME & SEC IN COM 793 14K –
FREEPORT-MCMORAN INC CL B 115 11K –
GABELLI HLTHCARE & WELLNESS SHS 441 42K –
GENERAL DYNAMICS CORP COM 2K 11K –
GENERAL ELECTRIC CO COM 962 32K –
GILEAD SCIENCES INC COM 2K 23K –
GRAINGER W W INC COM 263 1K –
HARRIS CORP DEL COM 2K 23K –
HOME DEPOT INC COM 624 5K –
HONEYWELL INTL INC COM 3K 22K –
HOWARD HUGHES CORP COM 220 2K –
ILLINOIS TOOL WKS INC COM 200 2K –
INTEL CORP COM 522 14K –
INTERNATIONAL BUSINESS MACHS COM 414 3K –
ISHARES TR CORE US AGGBD ET 443 4K –
ISHARES TR MSCI EMG MKT ETF 286 8K –
ISHARES TR MSCI EAFE ETF 303 5K –
ISHARES TR RUS MDCP VAL ETF 342 4K –
ISHARES TR RUS MID-CAP ETF 340 2K –
ISHARES TR CORE S&P MCP ETF 1K 7K –
ISHARES TR NASDQ BIOTEC ETF 308 1K –
ISHARES TR US HLTHCARE ETF 266 2K –
ISHARES TR CORE S&P SCP ETF 636 5K –
ISHARES TR IBOXX HI YD ETF 261 3K –
ISHARES TR 1-3 YR CR BD ETF 545 5K –
ISHARES TR 3-7 YR TR BD ETF 203 2K –
ISHARES TR CORE HIGH DV ETF 420 5K –
JPMORGAN CHASE & CO COM 1K 22K –
JOHNSON & JOHNSON COM 5K 45K –
KKR & CO L P DEL COM UNITS 237 17K –
KELLOGG CO COM 284 4K –
KIMBERLY CLARK CORP COM 248 2K –
KRAFT HEINZ CO COM 543 6K –
L BRANDS INC COM 727 10K –
LEUCADIA NATL CORP COM 412 22K –
LIBBEY INC COM 646 36K –
LIBERTY MEDIA CORP DELAWARE COM C SIRIUSXM 292 9K –
LOWES COS INC COM 659 9K –
MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 1K 19K –
MASTERCARD INCORPORATED CL A 4K 38K –
MAXIM INTEGRATED PRODS INC COM 814 20K –
MCDONALDS CORP COM 481 4K –
MERCK & CO INC COM 637 10K –
MICROSOFT CORP COM 3K 44K –
MICROCHIP TECHNOLOGY INC COM 861 14K –
MIDDLEFIELD BANC CORP COM NEW 423 13K –
MONDELEZ INTL INC CL A 366 8K –
MONOGRAM RESIDENTIAL TR INC COM 189 18K –
MOTOROLA SOLUTIONS INC COM NEW 307 4K –
NEW RELIC INC COM 348 9K –
NEXTERA ENERGY INC COM 264 2K –
NIKE INC CL B 986 19K –
NORDSON CORP COM 2K 20K –
NORFOLK SOUTHERN CORP COM 1K 12K –
NORTHROP GRUMMAN CORP COM 404 2K –
NOVARTIS A G SPONSORED ADR 262 3K –
NOVO-NORDISK A S ADR 224 5K –
NUVEEN SELECT TAX FREE INCM SH BEN INT 279 18K –
NUVEEN SELECT TAX FREE INCM SH BEN INT 172 11K –
NUVEEN CR STRATEGIES INCM FD COM SHS 273 32K –
ORACLE CORP COM 4K 96K –
PNC FINL SVCS GROUP INC COM 688 8K –
PARKER HANNIFIN CORP COM 1K 11K –
PEPSICO INC COM 5K 46K –
PFIZER INC COM 2K 50K –
PHILIP MORRIS INTL INC COM 618 6K –
PHILLIPS 66 COM 2K 30K –
POWERSHARES QQQ TRUST UNIT SER 1 274 2K –
PRAXAIR INC COM 311 3K –
PRICELINE GRP INC COM NEW 4K 2K –
PROCTER AND GAMBLE CO COM 6K 64K –
QUALCOMM INC COM 2K 33K –
RPM INTL INC COM 1K 24K –
RAYTHEON CO COM NEW 417 3K –
REALTY INCOME CORP COM 243 4K –
REPUBLIC SVCS INC COM 2K 30K –
SPDR S&P 500 ETF TR TR UNIT 818 4K –
SPDR GOLD TRUST GOLD SHS 334 3K –
SPDR DOW JONES INDL AVRG ETF UT SER 1 248 1K –
SCHLUMBERGER LTD COM 3K 35K –
SCHWAB CHARLES CORP NEW COM 1K 41K –
SCHWAB STRATEGIC TR US BRD MKT ETF 302 6K –
SCHWAB STRATEGIC TR US LRG CAP ETF 6K 119K –
SCHWAB STRATEGIC TR EMRG MKTEQ ETF 1K 50K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 501 12K –
SCHWAB STRATEGIC TR INTL EQTY ETF 4K 152K –
SCHWAB STRATEGIC TR US AGGREGATE B 14K 266K –
SELECT SECTOR SPDR TR SBI INT-INDS 280 5K –
SHERWIN WILLIAMS CO COM 601 2K –
SMUCKER J M CO COM NEW 15K 110K –
SOUTHERN CO COM 1K 20K –
SPECIAL OPPORTUNITIES FD INC COM 298 20K –
SQUARE INC CL A 140 12K –
SYMANTEC CORP COM 252 10K –
TJX COS INC NEW COM 880 12K –
TARGET CORP COM 320 5K –
TEMPLETON EMERG MKTS INCOME COM 678 62K –
TESLA MTRS INC COM 247 1K –
3M CO COM 4K 20K –
TIME WARNER INC COM NEW 2K 27K –
TIMKEN CO COM 211 6K –
TRAVELERS COMPANIES INC COM 995 9K –
US BANCORP DEL COM NEW 2K 38K –
UNILEVER PLC SPON ADR NEW 1K 30K –
UNION PAC CORP COM 4K 40K –
UNITED PARCEL SERVICE INC CL B 760 7K –
UNITED TECHNOLOGIES CORP COM 4K 39K –
UNITEDHEALTH GROUP INC COM 2K 17K –
VANECK VECTORS ETF TR GOLD MINERS ETF 413 16K –
VANGUARD SPECIALIZED PORTFOL DIV APP ETF 281 3K –
VANGUARD STAR FD VG TL INTL STK F 306 6K –
VANGUARD BD INDEX FD INC INTERMED TERM 327 4K –
VANGUARD BD INDEX FD INC SHORT TRM BOND 342 4K –
VANGUARD WHITEHALL FDS INC HIGH DIV YLD 279 4K –
VANGUARD WORLD FDS HEALTH CAR ETF 803 6K –
VANGUARD WORLD FDS INF TECH ETF 625 5K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 3K 31K –
VARIAN MED SYS INC COM 206 2K –
VANGUARD INDEX FDS S&P 500 ETF SHS 3K 14K –
VANGUARD INDEX FDS REIT ETF 584 7K –
VANGUARD INDEX FDS MID CAP ETF 410 3K –
VANGUARD INDEX FDS EXTEND MKT ETF 1K 15K –
VERIZON COMMUNICATIONS INC COM 2K 35K –
VISA INC COM CL A 1K 15K –
W P CAREY INC COM 2K 23K –
WALGREENS BOOTS ALLIANCE INC COM 494 6K –
WELLS FARGO & CO NEW COM 3K 66K –
WELLTOWER INC COM 3K 44K –
WESTERN ASSET MUN HI INCM FD COM 126 16K –
WEYERHAEUSER CO COM 3K 82K –
ZOETIS INC CL A 3K 53K –
ZWEIG FD COM NEW 185 14K –
ALLERGAN PLC SHS 396 2K –
AON PLC SHS CL A 726 6K –
ACCENTURE PLC IRELAND SHS CLASS A 965 8K –
EATON CORP PLC SHS 4K 62K –
MEDTRONIC PLC SHS 479 6K –
SIGNET JEWELERS LIMITED SHS 621 8K –
CHECK POINT SOFTWARE TECH LT ORD 202 3K –