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 Retirement Plan Advisors, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 33 filings
SEC status approved since Jan 19, 2007
RAUM
$1.5B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.1%
$1.1M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$307M
derived; firm RAUM over IAPD count
Employees
41
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.5B as of Mar 31, 2026
Mar 30, 2012$68.8M then
HNW client RAUM$2.0M as of Mar 31, 2021
Feb 9, 2018$730,314 then
State-registered IARs (5.B.3)14 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)41 as of Mar 31, 2026
Mar 27, 20134 then
Private funds: 1
RAUM +18% over the last fiscal year+25% a year over threeIARs 15 to 14
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
- $307MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $9.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$1.5B97%
- Charitable organizations$40.2M2.6%
- Individuals$1.1M0.1%
- Individual clients
- 4reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 161reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=true bd_reps=19.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| William Michael Koenig | Cleveland, Oh | Jun 7, 2007 | 25 y | 2 |
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
- Peter Lawrence Mooney to Ultra Advisors LLCMar 25, 2019 · Other
- William John Manby to Paradigm Investment Advisory LLCMay 1, 2013 · Other
Joined, latest
- Kevin Patrick Vaillancourt from Cbiz Investment Advisory Services, LLCMar 4, 2024 · Other
- William John Manby from Woodbury Financial Services, Inc.Jan 2, 2009 · Other
- William Michael Koenig from Waterstone Financial Group, Inc.Jun 7, 2007 · Other
- Peter Lawrence Mooney from Waterstone Financial Group, Inc.May 10, 2007 · Other
- John Edward Danch from Waterstone Financial Group, Inc.May 10, 2007 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Acquire Group Lf Conduit Fund I, LLCno longer reported | Other Private Fund | $329,600 | 6 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- David Frederick Disanto · Chairman & Chief Executive Officercontrolsince 11/2006 · owns less than 5%
- P Jason Geers · Compliance Officercontrolsince 02/2018 · owns less than 5%
- Michael William Koenig · Directorcontrolsince 01/2018 · owns less than 5%
- Pewters John Micklitsch · Chief Investment Officercontrolsince 12/2013 · owns less than 5%
- Renae Irene Walters · Chief Compliance Officercontrolsince 10/2018 · owns less than 5%
Entity owners
- Source Companies LLC · Parent Companydirect · owns 75% or more
- Ancora Advisors LLC · Member (Manager)indirect · owns 75% or more of Source Companies LLC
- 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
- The Ancora Group, LLC · Member (Manager)indirect · owns 75% or more of Ancora Advisors LLC
Related persons
Schedule D 7.A
- Ancora Advisors LLCinvestment adviseryRAUM $4.6B
- Ancora Alternatives LLCinvestment adviserbanknRAUM $1.1B
- Ancora Private Wealth Advisors, LLCinvestment advisernRAUM $3.9B
- Ancora Insurance Solutions LLCreal estaten
- Focus Risk Solutions, LLCreal estaten
- Inverness Life Services, LLCreal estaten
- Inverness Securities, LLCbroker-dealerreal estaten
- Source Insurancereal estatey
Advisers that list Ancora Retirement Plan 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 | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $1B to $5B (247) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 157 to 161Mar 27, 2025 to Mar 31, 2026
- Advisory employees · 21 to 22Mar 27, 2025 to Mar 31, 2026
- BD registered reps · 22 to 19Mar 27, 2025 to Mar 31, 2026
- Employees · 44 to 41Mar 27, 2025 to Mar 31, 2026
- Insurance-licensed employees · 15 to 14Mar 27, 2025 to Mar 31, 2026
- State-registered IARs · 15 to 14Mar 27, 2025 to Mar 31, 2026
- Individual RAUM · $941,778 to $1.1MMar 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.3B to $1.5BMar 27, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.5BMar 27, 2025 to Mar 31, 2026
- Accounts · 149 to 157Dec 6, 2024 to Mar 27, 2025
- Advisory employees · 23 to 21Dec 6, 2024 to Mar 27, 2025
- BD registered reps · 24 to 22Dec 6, 2024 to Mar 27, 2025
- Corporate clients · 142 to 150Dec 6, 2024 to Mar 27, 2025
- Employees · 42 to 44Dec 6, 2024 to Mar 27, 2025
- Insurance-licensed employees · 16 to 15Dec 6, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Dec 6, 2024 to Mar 27, 2025
- State-registered IARs · 16 to 15Dec 6, 2024 to Mar 27, 2025
- Individual RAUM · $807,328 to $941,778Dec 6, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $1.1B to $1.3BDec 6, 2024 to Mar 27, 2025
- RAUM · $1.1B to $1.3BDec 6, 2024 to Mar 27, 2025
- Accounts · 174 to 149Sep 29, 2023 to Mar 28, 2024
- Advisory employees · 24 to 23Sep 29, 2023 to Mar 28, 2024
- BD registered reps · 26 to 24Sep 29, 2023 to Mar 28, 2024
- Corporate clients · 133 to 142Sep 29, 2023 to Mar 28, 2024
- Individual clients · 38 to 4Sep 29, 2023 to Mar 28, 2024
- Employees · 43 to 42Sep 29, 2023 to Mar 28, 2024
- Insurance-licensed employees · 17 to 16Sep 29, 2023 to Mar 28, 2024
- State-registered IARs · 17 to 16Sep 29, 2023 to Mar 28, 2024
- Individual RAUM · $2.2M to $807,328Sep 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $792M to $1.1BSep 29, 2023 to Mar 28, 2024
- RAUM · $792M to $1.1BSep 29, 2023 to Mar 28, 2024
- Business name · ANCORA RETIREMENT PLAN ADVISORS INC. to ANCORA RETIREMENT PLAN ADVISORS, LLCMar 31, 2023 to Sep 15, 2023
- Accounts · 168 to 174Aug 24, 2022 to Mar 31, 2023
- Advisory employees · 25 to 24Aug 24, 2022 to Mar 31, 2023
- BD registered reps · 25 to 26Aug 24, 2022 to Mar 31, 2023
- Charity clients · 1 to 3Aug 24, 2022 to Mar 31, 2023
- Corporate clients · 130 to 133Aug 24, 2022 to Mar 31, 2023
- Individual clients · 37 to 38Aug 24, 2022 to Mar 31, 2023
- Employees · 41 to 43Aug 24, 2022 to Mar 31, 2023
- Insurance-licensed employees · 16 to 17Aug 24, 2022 to Mar 31, 2023
Signals
16 dated events
- Gregory John Bartels (Director) no longer on Schedule A of Ancora Retirement Plan Advisors, Llc (listed 2023-09-29, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Patrick Kevin Vaillancourt (Director) no longer on Schedule A of Ancora Retirement Plan Advisors, Llc (listed 2023-09-29, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Jean Brittney Garrett (Chief Financial Officer) no longer on Schedule A of Ancora Retirement Plan Advisors, Llc (listed 2023-09-29, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Ancora Retirement Plan Advisors, Llc reported RAUM $1.1B, up 33% from $791.8M (2023-09-29 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Michael Joseph Spidalieri (Chief Operating Officer) no longer on Schedule A of Ancora Retirement Plan Advisors, Llc (listed 2023-03-31, absent 2023-09-15)Sep 15, 2023 · Control person left · inference
- Jean Brittney Garrett (Chief Financial Officer) appeared on Schedule A of Ancora Retirement Plan Advisors, LlcMar 24, 2022 · Control person joined · fact
- Ancora Retirement Plan Advisors, Llc reported RAUM $856.4M, up 26% from $679.2M (2021-11-01 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- Scott Howard Essner (General Counsel) no longer on Schedule A of Ancora Retirement Plan Advisors, Llc (listed 2021-11-01, absent 2022-03-24)Mar 24, 2022 · Control person left · inference
- Ancora Retirement Plan Advisors Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 28, 2021 · Succession (Item 4) · fact
- Alan Bradley Zucker (Chief Financial Officer) no longer on Schedule A of Ancora Retirement Plan Advisors, Llc (listed 2020-06-24, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Patrick Kevin Vaillancourt (Director) appeared on Schedule A of Ancora Retirement Plan Advisors, LlcMar 31, 2021 · Control person joined · fact
- Ancora Retirement Plan Advisors, Llc reported 17 state-registered advisory representatives, up from 3 (2020-06-24 to 2021-03-31)Mar 31, 2021 · Advisor headcount change · derived
- Ancora Retirement Plan Advisors, Llc reported RAUM $557.3M, up 29% from $430.9M (2019-03-21 to 2020-04-01)Apr 1, 2020 · RAUM change · derived
- Pewters John Micklitsch (Chief Investment Officer) appeared on Schedule A of Ancora Retirement Plan Advisors, LlcMar 21, 2019 · Control person joined · fact
- Gregory John Bartels (Director) appeared on Schedule A of Ancora Retirement Plan Advisors, LlcMar 21, 2019 · Control person joined · fact
- Ancora Retirement Plan Advisors, Llc reported RAUM $398.3M, up 92% from $207.3M (2017-03-30 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
- 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
- 216-593-5090reportedpublic 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
- $307Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026