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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

UNIVERSAL VALUE ADVISORS

ANCORA WEST ADVISORS, LLC, CRD 137673

RENO, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:10bf21ac-53d1-0f38-341f-582db9fa253f

Data as of Oct 1, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Oct 1, 2012
8 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $78.6MItem 5.F on the latest filing (2012-10-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $78.6M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 225
Custody, client assets: $580,000
SEC number: 801-64843
CRD: 137673
Filings on the tape: 8
First filed: Mar 29, 2012
Latest filed: Oct 1, 2012
Organised: Limited Liability Company, Nevada

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BARONE LIQUIDITY INVESTMENTS, LLC	Member	D	yes	10/2005	Mar 29, 2012	Oct 1, 2012
BARONE, JOSHUA, ANTHONY	CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	D	yes	10/2005	Mar 29, 2012	Oct 1, 2012
BARONE, ROBERT, NICHOLAS	MANAGING MEMBER	F	yes	06/1999	Mar 29, 2012	Oct 1, 2012
AVARIZIA CAPITAL LLC	Shareholder	B	no	01/2012	Sep 28, 2012	Oct 1, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 29, 2012	$78.6M	$78.6M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$78.6M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (3)

← BARONE, JOSHUA, ANTHONYOwnerCHIEF COMPLIANCE OFFICER, MANAGING MEMBER, ownership code D, individual
Mar 29, 2012 to presentfactForm ADV
← BARONE, ROBERT, NICHOLASOwnerMANAGING MEMBER, ownership code F, individual
Mar 29, 2012 to presentfactForm ADV
← BARONE LIQUIDITY INVESTMENTS, LLCOwnerMEMBER, ownership code D, domestic entity
Mar 29, 2012 to presentfactForm ADV

Owns (1)

← AVARIZIA CAPITAL LLCOwnerSHAREHOLDER, ownership code B, domestic entity
Sep 28, 2012 to presentfactForm ADV

Registered with (4)

← JOSHUA ANTHONY BARONEAdvisorregistration: previous registration
Feb 10, 2006 to Dec 31, 2014factForm ADV
← ANDREA NOLANAdvisorregistration: previous registration
Mar 26, 2009 to Dec 31, 2014factForm ADV
← ROBERT NICHOLAS BARONEAdvisorregistration: previous registration
Feb 10, 2006 to Dec 31, 2014factForm ADV
← Matthew James MarcewiczAdvisorregistration: previous registration
Mar 26, 2009 to Feb 14, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:10bf21ac-53d1-0f38-341f-582db9fa253f
First observed: Mar 29, 2012
Last observed: Oct 1, 2012 170 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

UNIVERSAL VALUE ADVISORS

ANCORA WEST ADVISORS, LLC, CRD 137673

RENO, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:10bf21ac-53d1-0f38-341f-582db9fa253f

Data as of Oct 1, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:20 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARONE LIQUIDITY INVESTMENTS, LLC

Member

yes

10/2005

Mar 29, 2012

Oct 1, 2012

BARONE, JOSHUA, ANTHONY

CHIEF COMPLIANCE OFFICER, MANAGING MEMBER

yes

10/2005

Mar 29, 2012

Oct 1, 2012

BARONE, ROBERT, NICHOLAS

MANAGING MEMBER

yes

06/1999

Mar 29, 2012

Oct 1, 2012

AVARIZIA CAPITAL LLC

Shareholder

01/2012

Sep 28, 2012

Oct 1, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 29, 2012

$78.6M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$78.6M

n/a