ANCORA RETIREMENT PLAN ADVISORS, LLC
Adviser information for ANCORA RETIREMENT PLAN ADVISORS, LLC last updated from Form ADV on March 28th, 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 42 |
|---|---|
| Investment Advisory/Research | 23 |
| Registered Broker-Dealer Representatives | 24 |
| Registered State Investment Advisers | 16 |
| Licensed Agents of an Insurance Company | 12 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 149 | $1.1B |
| Total | 149 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 4 | $807,328 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| Charitable organizations | 3 | $28.2M |
| 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 | 142 | $1.0B |
| 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 businessesINSURANCE & CREDIT AND CASH MANAGEMENT SOLUTIONS |
|---|---|
| Compensation | % of AUMFixed 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 | 801-67475 |
|---|---|
| SEC ERA File Number | 801-67475 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 31256 |
| Legal Entity Identifier | None |
Principal Office
6060 PARKLANDSUITE 200
CLEVELAND
OH
United States
Monday - Friday, 9:00-5:00
Tel: 216-593-5090, Fax: 216-593-5091
Chief Compliance Officer
IRENE WALTERS
CHIEF COMPLIANCE OFFICER
6060 PARKLAND
SUITE 200
CLEVELAND
OH
United States
Tel:
216-593-5015
Fax:
216-593-5115
R*******@*********T
(Full email address available in API data)
Regulatory Contact
JASON GEERS
COMPLIANCE
6060 PARKLAND
SUITE 200
CLEVELAND
OH
United States
Tel:
216-593-5020
Fax:
216-593-5120
J*****@*********T
(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 FAMILY WEALTH ADVISORS, LLC | Other investment adviser, including financial planners |
| ANCORA INSURANCE SOLUTIONS LLC | Insurance company or agency |
| 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 |
|---|---|---|---|---|---|
| SOURCE COMPANIES LLC | Domestic Entity | – | PARENT COMPANY | 02/2008 | > 75% |
| ANCORA ADVISORS LLC | Domestic Entity | SOURCE COMPANIES LLC | MEMBER (MANAGER) | 02/2008 | > 75% |
| THE ANCORA GROUP, LLC | Domestic Entity | ANCORA ADVISORS LLC | MEMBER (MANAGER) | 01/2010 | > 75% |
| ANCORA HOLDINGS GROUP, LLC | Domestic Entity | THE ANCORA GROUP, LLC | MEMBER (MANAGER) | 12/2015 | > 75% |
| GEERS, JASON, P | Individual | – | COMPLIANCE OFFICER | 02/2018 | < 5% |
| WALTERS, IRENE, RENAE | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2018 | < 5% |
| DISANTO, FREDERICK, DAVID | Individual | – | CHAIRMAN & CHIEF EXECUTIVE OFFICER | 11/2006 | < 5% |
| KOENIG, WILLIAM, MICHAEL | Individual | – | DIRECTOR | 01/2018 | < 5% |
| MICKLITSCH, JOHN, PEWTERS | Individual | – | CHIEF INVESTMENT OFFICER | 12/2013 | < 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% |
| 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% |