Ancora Advisors LLC
Registered investment adviser · Mayfield Heights, OH · CRD #124674
Form ADV data as of 2026-09-01Regulatory assets
$4.61 billion
Total accounts
307
Employees
46
Disclosure events
2
Firm details
- Website: https://www.linkedin.com/company/ancora-holdings
- Telephone: 216-825-4000
- SEC file number: 801-61770
- Most recent Form ADV filing: 2026-03-31
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 2 disclosure questions answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $2.66 billion |
| Non-discretionary regulatory assets under management | $1.95 billion |
| Total regulatory assets under management | $4.61 billion |
| Discretionary accounts | 291 |
| Non-discretionary accounts | 16 |
| Total accounts | 307 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 46 |
| Employees performing investment advisory functions (including research) | 27 |
| Employees who are registered representatives of a broker-dealer | 30 |
| Employees registered as investment adviser representatives with a state | 16 |
| Employees registered as IARs for another investment adviser | 16 |
| Employees who are licensed insurance agents | 10 |
| Firms or persons who solicit advisory clients on the firm's behalf | 3 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $1.97 billion |
| Clients for whom the firm has custody | 645 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 2 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Recommends securities in which it has another sales interest
- Brokers or dealers selected under 8.C.(3) are related persons
- Recommends brokers or dealers to clients
- Brokers or dealers recommended under 8.E. are related persons
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
- Receives compensation from others for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| High net worth individuals | 148 | $401.4 million |
| Investment companies | 13 | $659.1 million |
| Pooled investment vehicles (other than investment companies and BDCs) | 4 | $330.3 million |
| Pension and profit sharing plans (not the participants or government plans) | 27 | $157.2 million |
| Charitable organizations | 37 | $318.6 million |
| State or municipal government entities (including government pension plans) | 23 | $318.2 million |
| Insurance companies | 3 | $58.5 million |
| Corporations or other businesses not listed above | 52 | $2.37 billion |