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 Private Wealth Advisors, LLC
Latest filing Apr 1, 2026
First filing on the tape Mar 29, 2012 · 33 filings
SEC status approved since Apr 3, 2003
RAUM
$3.9B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
95%
$3.7B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$260M
derived; firm RAUM over IAPD count
Employees
53
29 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$3.9B as of Apr 1, 2026
Mar 29, 2012$253M then
HNW client RAUM$3.7B as of Apr 1, 2026
Mar 28, 2018$1.2B then
State-registered IARs (5.B.3)16 as of Apr 1, 2026
Apr 1, 201311 then
Employees (5.A)53 as of Apr 1, 2026
Apr 1, 201313 then
Private funds: no history
RAUM +21% over the last fiscal year+20% a year over threeIARs 16 to 16offices 2 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $260MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $837,040derivedHNW RAUM over HNW clients
- Average account
- $864,854derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 7.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%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
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $9.5B, 9,078 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.7B95%
- Corporations and businesses$130M3.3%
- Pension and profit-sharing plans$45.7M1.2%
- Charitable organizations$28.9M0.7%
- Individual clients
- n/areported
- HNW clients
- 4,414reported
- Pension plan clients
- 27reported
- Charitable clients
- 28reported
- Accounts
- 4,509reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.5B for 9,078 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=true bd_reps=16.0 bank_owner=falsederived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Richard Beck Renner | Cleveland, Oh | Feb 4, 2003 | 39 y | 1 |
| Jeffrey Charles Van FossenChartered Financial Analyst | Cleveland, Oh | May 30, 2006 | 25 y | 1 |
| John Edward Danch | Cleveland, Oh | May 10, 2007 | 21 y | 1 |
| Paul Thompson MccormackCertified Financial Planner | Cleveland, Oh | Jan 19, 2010 | 24 y | 2 |
| Howard Scott Essner | Cleveland, Oh | Mar 18, 2010 | 20 y | 0 |
| John Gregory Bartels | Cleveland, Oh | Jun 16, 2011 | 30 y | 2 |
| Thomas Jerard Kennedy | Cleveland, Oh | Jun 24, 2011 | 30 y | 2 |
| Michael Enrico SantelliChartered Financial Analyst | Cleveland, Oh | Feb 14, 2014 | 34 y | 0 |
| Gregory William Hopkins | Cleveland, Oh | Feb 12, 2020 | 12 y | 1 |
| Ryan Bartels | Chicago , Il | Sep 12, 2022 | 18 y | 3 |
| Ashley Benton-Cooper | Cleveland, Oh | Oct 27, 2023 | 14 y | 0 |
| Kevin Patrick Vaillancourt | Cleveland, Oh | Mar 4, 2024 | 28 y | 2 |
| Lisa RosenthalCertified Financial Planner, Chartered Financial Analyst | Cleveland, Oh | Mar 5, 2024 | 17 y | 3 |
| Cassandra Hanke | Cleveland, Oh | Aug 21, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Kevin Joseph Kale to Sws Partners, LLCApr 16, 2023 · RIA to RIA
- Jacob C. Burnett to Mai Capital Management, LLCMar 21, 2023 · RIA to RIA
- Matthew Eric Gordillo to First Allied Advisory Services, Inc.Sep 13, 2021 · Other
- Molly Bernet Balunek to Laurel Tree Advisors, LLCAug 2, 2013 · Other
- Kenneth Paul Butze to Integrity First Planners, Inc.Apr 16, 2013 · Other
- Glenn Scott Searles to First Allied Advisory Services, Inc.Oct 31, 2012 · Other
Joined, latest
- David Gerard Sowerby from Loomis, Sayles & Company, L.P.Feb 24, 2026 · Other
- Lisa Rosenthal from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 5, 2024 · Wirehouse to independent RIA
- Ryan Bartels from Fidelity Personal And Workplace AdvisorsSep 12, 2022 · Affiliated broker-dealer or bank to independent RIA
- Kevin Joseph Kale from Wealthstone AdvisorsOct 14, 2020 · RIA to RIA
- Gregory William Hopkins from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 12, 2020 · Wirehouse to independent RIA
- Kenneth Paul Butze from United Planners' Financial Services Of America A Limited PartnerMay 31, 2012 · Other
- Glenn Scott Searles from First Allied Securities, Inc.Sep 13, 2011 · Other
- Matthew Eric Gordillo from First Allied Securities, Inc.Jun 27, 2011 · Other
- Thomas Jerard Kennedy from First Allied Securities, Inc.Jun 24, 2011 · Other
- John Gregory Bartels from First Allied Securities, Inc.Jun 16, 2011 · Other
- Paul Thompson Mccormack from UBS Financial Services Inc.Jan 19, 2010 · Other
- Molly Bernet Balunek from Spero-Smith Investment Advisers, Inc.Aug 10, 2009 · Other
- Jeffrey Charles Van Fossen from Northern Trust Bank FsbMay 30, 2006 · Other
- Richard Beck Renner from Wells Fargo AdvisorsFeb 4, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gregory John Bartels · Presidentcontrolsince 01/2022 · owns less than 5%
- David Frederick Disanto · Chairman & Chief Executive Officercontrolsince 12/2015 · owns less than 5%
- Jean Brittney Garrett · Chief Financial Officercontrolsince 12/2020 · owns less than 5%
- P Jason Geers · Chief Compliance Officercontrolsince 06/2016 · owns less than 5%
- Pewters John Micklitsch · Presidentcontrolsince 12/2015 · owns less than 5%
- Martin Matthew D'Anniballe · Chief Financial Officersince 01/2026 · owns less than 5%
Entity owners
- Inverness Holdings LLC · Member Executive Officerdirect · owns 75% or more
- Ancora Holdings Group, LLC · Member (Manager)indirect · owns 75% or more of Inverness Holdings 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 Advisors LLCinvestment advisernRAUM $4.6B
- Ancora Alternatives LLCinvestment adviserbanknRAUM $1.1B
- Ancora Insurance Solutionsreal estaten
- Ancora Retirement Plan Advisors, LLCinvestment adviserLP sponsornRAUM $1.5B
- Focus Risk Solutions, LLCreal estaten
- Inverness Life Services LLCreal estaten
- Inverness Securities, LLCbroker-dealerreal estaten
- Source Insurancereal estaten
Advisers that list Ancora Private Wealth Advisors, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cleveland, Oh · principal | 15 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bloomfield Hills, MI1 employees
- Naples, FL1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 1, 2026DISANTO, FREDERICK, DAVID (CHAIRMAN & CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2023-09-15 and 2026-04-01peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 1, 2026Garrett, Brittney, Jean (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2023-09-15 and 2026-04-01peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Discretionary RAUM · $123M to $3.8BMar 31, 2026 to Apr 1, 2026
- Non-discretionary RAUM · $3.8B to $123MMar 31, 2026 to Apr 1, 2026
- Accounts · 4,083 to 4,509Mar 21, 2025 to Mar 31, 2026
- Advisory employees · 33 to 29Mar 21, 2025 to Mar 31, 2026
- BD registered reps · 32 to 16Mar 21, 2025 to Mar 31, 2026
- Corporate clients · 39 to 40Mar 21, 2025 to Mar 31, 2026
- HNW clients · 3,987 to 4,414Mar 21, 2025 to Mar 31, 2026
- Pension plan clients · 29 to 27Mar 21, 2025 to Mar 31, 2026
- Assets in custody · unset to 9541057038.0Mar 21, 2025 to Mar 31, 2026
- Custody of client assets · false to trueMar 21, 2025 to Mar 31, 2026
- Employees · 65 to 53Mar 21, 2025 to Mar 31, 2026
- Other offices · 2 to 1Mar 21, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.2B to $123MMar 21, 2025 to Mar 31, 2026
- HNW RAUM · $3.0B to $3.7BMar 21, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $57.8M to $3.8BMar 21, 2025 to Mar 31, 2026
- Pension RAUM · $40.8M to $45.7MMar 21, 2025 to Mar 31, 2026
- RAUM · $3.2B to $3.9BMar 21, 2025 to Mar 31, 2026
- Accounts · 3,813 to 4,083Dec 6, 2024 to Mar 21, 2025
- Advisory employees · 37 to 33Dec 6, 2024 to Mar 21, 2025
- BD registered reps · 37 to 32Dec 6, 2024 to Mar 21, 2025
- Business name · ANCORA FAMILY WEALTH ADVISORS, LLC to ANCORA PRIVATE WEALTH ADVISORS, LLCDec 6, 2024 to Mar 21, 2025
- Charity clients · 26 to 28Dec 6, 2024 to Mar 21, 2025
- Corporate clients · 41 to 39Dec 6, 2024 to Mar 21, 2025
- HNW clients · 3,717 to 3,987Dec 6, 2024 to Mar 21, 2025
- Insurance-licensed employees · 18 to 16Dec 6, 2024 to Mar 21, 2025
- Financial planning clients · 101-250 to 101-250Dec 6, 2024 to Mar 21, 2025
- State-registered IARs · 18 to 16Dec 6, 2024 to Mar 21, 2025
- Legal name · ANCORA FAMILY WEALTH ADVISORS, LLC to ANCORA PRIVATE WEALTH ADVISORS, LLCDec 6, 2024 to Mar 21, 2025
- Discretionary RAUM · $2.7B to $3.2BDec 6, 2024 to Mar 21, 2025
- HNW RAUM · $2.6B to $3.0BDec 6, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $12.7M to $57.8MDec 6, 2024 to Mar 21, 2025
- Pension RAUM · $38.0M to $40.8MDec 6, 2024 to Mar 21, 2025
- RAUM · $2.7B to $3.2BDec 6, 2024 to Mar 21, 2025
- Accounts · 3,474 to 3,813Sep 25, 2023 to Mar 5, 2024
- Advisory employees · 35 to 37Sep 25, 2023 to Mar 5, 2024
- BD registered reps · 36 to 37Sep 25, 2023 to Mar 5, 2024
- Charity clients · 25 to 26Sep 25, 2023 to Mar 5, 2024
- Corporate clients · 40 to 41Sep 25, 2023 to Mar 5, 2024
- HNW clients · 3,377 to 3,717Sep 25, 2023 to Mar 5, 2024
- Pension plan clients · 32 to 29Sep 25, 2023 to Mar 5, 2024
Signals
11 dated events
- Michael Joseph Spidalieri (Chief Operating Officer) no longer on Schedule A of Ancora Private Wealth Advisors, Llc (listed 2023-09-15, absent 2023-09-15)Sep 15, 2023 · Control person left · inference
- Kevin Joseph Kale left Ancora Private Wealth Advisors, Llc for Sws Partners, Llc (registered 2026-02-03)Apr 16, 2023 · Advisor changed firm · fact
- Lemar Kim Oeder (Chief Compliance Officer) no longer on Schedule A of Ancora Private Wealth Advisors, Llc (listed 2022-03-24, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Jacob C. Burnett left Ancora Private Wealth Advisors, Llc for Mai Capital Management, Llc (registered 2023-03-30)Mar 21, 2023 · Advisor changed firm · fact
- Beck Richard Renner (President) no longer on Schedule A of Ancora Private Wealth Advisors, Llc (listed 2021-11-01, absent 2022-03-24)Mar 24, 2022 · Control person left · inference
- Scott Howard Essner (General Counsel) no longer on Schedule A of Ancora Private Wealth Advisors, Llc (listed 2021-11-01, absent 2022-03-24)Mar 24, 2022 · Control person left · inference
- Gregory John Bartels (President) appeared on Schedule A of Ancora Private Wealth Advisors, LlcMar 24, 2022 · Control person joined · fact
- Jean Brittney Garrett (Chief Financial Officer) appeared on Schedule A of Ancora Private Wealth Advisors, LlcMar 24, 2022 · Control person joined · fact
- Alan Bradley Zucker (Chief Financial Officer) no longer on Schedule A of Ancora Private Wealth Advisors, Llc (listed 2020-06-24, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Ancora Private Wealth Advisors, Llc reported RAUM $1.7B, up 31% from $1.3B (2019-03-20 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Ancora Private Wealth Advisors, Llc reported RAUM $1.3B, up 51% from $859.2M (2017-03-31 to 2018-02-09)Feb 9, 2018 · RAUM change · derived
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
- Business phone
- 415-900-3871reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 512-498-7080reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 561-200-2070reportedpublished by the firm, firm site, Sep 17, 2026
- 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, Apr 1, 2026
- Contact form
- corporate.focuspartners.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $260Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026