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.
SEC-registered adviser
Ancora Advisors LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 22, 2012 · 37 filings
SEC status approved since Jan 30, 2003
RAUM
$4.6B
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
8.7%
$401M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$461M
derived; firm RAUM over IAPD count
Employees
46
27 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$4.6B as of Mar 31, 2026
Mar 22, 2012$3.6B then
HNW client RAUM$401M as of Mar 31, 2026
Mar 26, 2018$209M then
State-registered IARs (5.B.3)16 as of Mar 31, 2026
Mar 26, 201311 then
Employees (5.A)46 as of Mar 31, 2026
Mar 26, 201332 then
Private funds15 as of Mar 31, 2021
Mar 22, 20122 then
RAUM +3.0% over the last fiscal year+4.1% a year over threeIARs 16 to 16offices 2 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- RAUM per advisor
- $461MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $15.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 58%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $2.0B, 645 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$2.4B51%
- Investment companies$659M14%
- High-net-worth individuals$401M8.7%
- Pooled investment vehicles$330M7.2%
- Charitable organizations$319M6.9%
- State and municipal entities$318M6.9%
- Pension and profit-sharing plans$157M3.4%
- Insurance companies$58.5M1.3%
- Individual clients
- n/areported
- HNW clients
- 148reported
- Pension plan clients
- 27reported
- Charitable clients
- 37reported
- Accounts
- 307reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0B for 645 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.09 fund_share=0.21 institutional_share=0.18 related_bd=true related_bank=true bd_reps=30.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Sonia Hosono MintunChartered Financial Analyst | Mayfield Heights, Oh | Feb 1, 2010 | 22 y | 1 |
| John Patrick Kane | Mayfield Heights, Oh | Aug 4, 2011 | 21 y | 0 |
| John Pewters Micklitsch | Mayfield Heights, Oh | Aug 4, 2011 | 32 y | 0 |
| Larry Gerard Joseph | Mayfield Heights, Oh | Aug 4, 2011 | 38 y | 0 |
| Frederick David Disanto | Mayfield Heights, Oh | Aug 4, 2011 | 40 y | 0 |
| Eric Francis Woidke | Mayfield Heights, Oh | Aug 4, 2011 | 25 y | 1 |
| Daniel Joseph Hyland | Mayfield Heights, Oh | Dec 20, 2012 | 34 y | 0 |
| Steven John Varrone | Mayfield Heights, Oh | Jan 22, 2014 | 31 y | 1 |
| Timothy Michael Mccormick | Mayfield Heights, Oh | Jun 15, 2021 | 38 y | 1 |
| David Gerard SowerbyChartered Financial Analyst | Cleveland, Oh | Feb 24, 2026 | 29 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Timothy Michael Mccormick from Bny Mellon Securities CorporationJun 15, 2021 · Other
- Steven John Varrone from Fifth Third Securities, Inc.Jan 22, 2014 · Other
- Eric Francis Woidke from Fifth Third Securities, Inc.Aug 4, 2011 · Other
- Sonia Hosono Mintun from First Fiduciary Investment Counsel IncFeb 1, 2010 · Other
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Ancora Catalyst Spv I, LP - Series Kno longer reported | Hedge Fund | $21.0M | 99 | Mar 31, 2021 |
| Ancora Catalyst Spv I, LP - Series Ono longer reported | Hedge Fund | $15.5M | 120 | Mar 31, 2021 |
| Ancora Catalyst Spv I, LP - Series Lno longer reported | Hedge Fund | $9.5M | 9 | Mar 31, 2021 |
| Aamaf, LPno longer reported | Hedge Fund | $6.5M | 78 | Mar 26, 2013 |
| Ancora Catalyst Spv I, LP - Series Pno longer reported | Hedge Fund | $5.6M | 60 | Mar 31, 2021 |
| Ancora Greater China Fundno longer reported | Hedge Fund | $0 | 0 | Mar 22, 2012 |
| Birchwald Partners LPno longer reported | Hedge Fund | $0 | 0 | Mar 26, 2013 |
| Ponfield Opportunity Fund LPno longer reported | Real Estate Fund | $0 | 0 | Jan 15, 2015 |
Owners and control persons
Schedule A and B, latest filing
- David Frederick Disanto · Chief Executive Officer, Chairmancontrolsince 11/2006 · owns less than 5%
- P Jason Geers · Chief Compliance Officercontrolsince 06/2016 · owns less than 5%
- Pewters John Micklitsch · Chief Investment Officercontrolsince 09/2013 · owns less than 5%
Entity owners
- The Ancora Group LLC · Member (Manager)direct · owns 75% or more
- Ancora Holdings Group, LLC · Member (Manager)indirect · owns 75% or more of The Ancora Group LLC
- Cd&R Ferdinand Co-Investor, L.P. · Partnerindirect · owns 25% to 50% of Cd&R Ferdinand Holdings, L.P.
- Cd&R Ferdinand Holdings, L.P. · Partnerindirect · owns 50% to 75% of Ferdinand Ffp Ultimate Holdings, LP
- Clayton, Dubilier & Rice Fund Xii, L.P. · Partnerindirect · owns 50% to 75% of Cd&R Ferdinand Holdings, L.P.
- Ferdinand Ffp Acquisition, LLC · Shareholder, Class A Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Ferdinand Ffp Intermediate Holdings, LLC · Memberindirect · owns 75% or more of Ferdinand Ffp Acquisition, LLC
- Ferdinand Ffp Parent, Inc. · Memberindirect · owns 75% or more of Ferdinand Ffp Intermediate Holdings, LLC
- Ferdinand Ffp Ultimate Holdings, LP · Shareholderindirect · owns 75% or more of Ferdinand Ffp Parent, Inc.
- Ferdinand Ffp Ultimate Holdings, LP · Shareholder, Class B Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Focus Financial Partners Inc. · Memberindirect · owns 75% or more of Focus Financial Partners, LLC
- Focus Financial Partners, LLC · Memberindirect · owns 75% or more of Focus Operating, LLC
- Focus Operating, LLC · Member (Manager)indirect · owns 75% or more of Ancora Holdings Group, LLC
Related persons
Schedule D 7.A
- Ancora Alternatives LLCinvestment adviserbanknRAUM $1.1B
- Ancora Private Wealth Advisors, LLCinvestment advisernRAUM $3.9B
- Ancora Insurance Solutionsreal estaten
- Ancora Retirement Plan Advisors, LLCinvestment adviseryRAUM $1.5B
- Focus Risk Solutions, LLCreal estaten
- Inverness Life Services, LLCreal estaten
- Inverness Securities, LLCbroker-dealerreal estaten
- Source Insurancereal estatey
Advisers that list Ancora Advisors LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mayfield Heights, Oh · principal | 10 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bloomfield Hills, MI2 employees
- Naples, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-21, yes on the filing of 2026-03-31peers: other advisers, $1B to $5B (247)
What changed
consecutive filings, newest first
- Accounts · 313 to 307Mar 21, 2025 to Mar 31, 2026
- Advisory employees · 33 to 27Mar 21, 2025 to Mar 31, 2026
- Charity clients · 35 to 37Mar 21, 2025 to Mar 31, 2026
- Corporate clients · 50 to 52Mar 21, 2025 to Mar 31, 2026
- HNW clients · 156 to 148Mar 21, 2025 to Mar 31, 2026
- Pension plan clients · 31 to 27Mar 21, 2025 to Mar 31, 2026
- Assets in custody · unset to 1973360757.0Mar 21, 2025 to Mar 31, 2026
- Custody of client assets · false to trueMar 21, 2025 to Mar 31, 2026
- Employees · 60 to 46Mar 21, 2025 to Mar 31, 2026
- Financial planning clients · to 0Mar 21, 2025 to Mar 31, 2026
- Other offices · 2 to 1Mar 21, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.5B to $2.7BMar 21, 2025 to Mar 31, 2026
- HNW RAUM · $399M to $401MMar 21, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.9B to $2.0BMar 21, 2025 to Mar 31, 2026
- Pension RAUM · $198M to $157MMar 21, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $297M to $330MMar 21, 2025 to Mar 31, 2026
- RAUM · $4.5B to $4.6BMar 21, 2025 to Mar 31, 2026
- Accounts · 324 to 313Dec 6, 2024 to Mar 21, 2025
- Advisory employees · 36 to 33Dec 6, 2024 to Mar 21, 2025
- BD registered reps · 34 to 30Dec 6, 2024 to Mar 21, 2025
- Corporate clients · 59 to 50Dec 6, 2024 to Mar 21, 2025
- HNW clients · 153 to 156Dec 6, 2024 to Mar 21, 2025
- Pension plan clients · 33 to 31Dec 6, 2024 to Mar 21, 2025
- Insurance-licensed employees · 18 to 16Dec 6, 2024 to Mar 21, 2025
- Financial planning clients · unset to Dec 6, 2024 to Mar 21, 2025
- State-registered IARs · 18 to 16Dec 6, 2024 to Mar 21, 2025
- Discretionary RAUM · $2.0B to $2.5BDec 6, 2024 to Mar 21, 2025
- HNW RAUM · $324M to $399MDec 6, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $2.4B to $1.9BDec 6, 2024 to Mar 21, 2025
- Pension RAUM · $188M to $198MDec 6, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $252M to $297MDec 6, 2024 to Mar 21, 2025
- RAUM · $4.3B to $4.5BDec 6, 2024 to Mar 21, 2025
- Accounts · 334 to 324Sep 25, 2023 to Mar 28, 2024
- Advisory employees · 37 to 36Sep 25, 2023 to Mar 28, 2024
- Charity clients · 34 to 35Sep 25, 2023 to Mar 28, 2024
- Corporate clients · 65 to 59Sep 25, 2023 to Mar 28, 2024
- HNW clients · 162 to 153Sep 25, 2023 to Mar 28, 2024
- Insurance-licensed employees · 19 to 18Sep 25, 2023 to Mar 28, 2024
- State-registered IARs · 19 to 18Sep 25, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.2B to $2.0BSep 25, 2023 to Mar 28, 2024
Signals
6 dated events
- Jean Brittney Garrett (Chief Financial Officer) no longer on Schedule A of Ancora Advisors Llc (listed 2023-09-25, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Michael Joseph Spidalieri (Chief Operating Officer) no longer on Schedule A of Ancora Advisors Llc (listed 2023-03-30, absent 2023-09-15)Sep 15, 2023 · Control person left · inference
- Jean Brittney Garrett (Chief Financial Officer) appeared on Schedule A of Ancora Advisors LlcMar 24, 2022 · Control person joined · fact
- Alan Bradley Zucker (Chief Financial Officer) no longer on Schedule A of Ancora Advisors Llc (listed 2020-06-24, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Marie Tricia Cunningham (Risk Officer) no longer on Schedule A of Ancora Advisors Llc (listed 2020-06-24, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Marie Tricia Cunningham (Risk Officer) appeared on Schedule A of Ancora Advisors LlcMar 20, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/ancora-holdingsreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/2064318reportedpublic record, Form ADV, Sep 17, 2026
- Website
- focusfinancialpartners.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 216-825-4000reportedpublic record, Form ADV, Mar 31, 2026
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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $461Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Ancora Advisors LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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