Ancora Retirement Plan Advisors, Llc
SEC-registered
Investment Adviser · Mid-sized ($1B–$10B)
CRD 31256
· SEC file 801-67475
· Cleveland, OH
· twitter.com
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $1.5B
- Discretionary
- $0
- Clients
- 157
- Avg AUM / client
- $9.8M
- Accounts
- 161
- Employees
- 41
AUM over time
$68.8M
$1.5B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 4 | $1.1M | 0.07% |
| Charitable organizations | 3 | $40.2M | 2.62% |
| Corporations and other businesses | 150 | $1.5B | 97.3% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Frederick David Disanto | Chairman & Chief Executive Officer | Nov 2006 (20y) | Less than 5% | |
| William Michael Koenig | Director | Jun 2007 (19y) | Less than 5% | |
| John Pewters Micklitsch | Chief Investment Officer | Dec 2013 (13y) | Less than 5% | |
| Geers, Jason, P | Compliance Officer | Feb 2018 (9y) | Less than 5% | |
| Walters, Irene, Renae | Chief Compliance Officer | Oct 2018 (8y) | Less than 5% | |
| John Edward Danch | Registered representative | May 2007 (19y) | ||
| John Gregory Bartels | Registered representative | Feb 2018 (8y) | ||
| Howard Scott Essner | Registered representative | Apr 2018 (8y) | ||
| Kevin Patrick Vaillancourt | Registered representative | Mar 2024 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Source Companies Llc | Parent Company | Feb 2008 | A | 75% or more |
| Ancora Advisors Llc | Member (Manager) | Feb 2008 | B | ≈ 56.25% – 100% via Source Companies Llc |
| The Ancora Group, Llc | Member (Manager) | Jan 2010 | B | ≈ 42.19% – 100% via Ancora Advisors Llc |
| Ancora Holdings Group, Llc | Member (Manager) | Dec 2015 | B | ≈ 31.64% – 100% via The Ancora Group, Llc |
| Focus Financial Partners Inc. | Member | Jul 2018 | B | ≈ 13.35% – 100% via Focus Financial Partners, Llc |
| Focus Financial Partners, Llc | Member | Jan 2007 | B | ≈ 17.8% – 100% via Focus Operating, Llc |
| Focus Operating, Llc | Member (Manager) | Oct 2021 | B | ≈ 23.73% – 100% via Ancora Holdings Group, Llc |
| Ferdinand Ffp Acquisition, Llc | Shareholder, Class A Common Stock | Aug 2023 | B | ≈ 10.01% – 100% via Focus Financial Partners Inc. |
| Ferdinand Ffp Ultimate Holdings, Lp | Shareholder, Class B Common Stock | Aug 2023 | B | ≈ 10.01% – 100% via Focus Financial Partners Inc. |
| Ferdinand Ffp Intermediate Holdings, Llc | Member | Aug 2023 | B | ≈ 7.51% – 100% via Ferdinand Ffp Acquisition, Llc |
| Ferdinand Ffp Parent, Inc. | Member | Aug 2023 | B | ≈ 5.63% – 100% via Ferdinand Ffp Intermediate Holdings, Llc |
| Cd&R Ferdinand Holdings, L.P. | Partner | Aug 2023 | B | ≈ 5.01% – 75% via Ferdinand Ffp Ultimate Holdings, Lp |
| Clayton, Dubilier & Rice Fund Xii, L.P. | Partner | Aug 2023 | B | ≈ 2.5% – 56.25% via Cd&R Ferdinand Holdings, L.P. |
| Cd&R Ferdinand Co Investor, L.P. | Partner | Aug 2023 | B | ≈ 1.25% – 37.5% via Cd&R Ferdinand Holdings, L.P. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Ancora Advisors Llc: 75% – 100% of Source Companies Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- The Ancora Group, Llc: 75% – 100% of Ancora Advisors Llc × 75% – 100% of Source Companies Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Ancora Holdings Group, Llc: 75% – 100% of The Ancora Group, Llc × 75% – 100% of Ancora Advisors Llc × 75% – 100% of Source Companies Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Focus Financial Partners Inc.: 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% of Ancora Holdings Group, Llc × 75% – 100% of The Ancora Group, Llc × 75% – 100% of Ancora Advisors Llc × 75% – 100% of Source Companies Llc × 75% – 100% direct ≈ 13.35% – 100% of the firm
- Focus Financial Partners, Llc: 75% – 100% of Focus Operating, Llc × 75% – 100% of Ancora Holdings Group, Llc × 75% – 100% of The Ancora Group, Llc × 75% – 100% of Ancora Advisors Llc × 75% – 100% of Source Companies Llc × 75% – 100% direct ≈ 17.8% – 100% of the firm
- Focus Operating, Llc: 75% – 100% of Ancora Holdings Group, Llc × 75% – 100% of The Ancora Group, Llc × 75% – 100% of Ancora Advisors Llc × 75% – 100% of Source Companies Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Ferdinand Ffp Acquisition, Llc: 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% of Ancora Holdings Group, Llc × 75% – 100% of The Ancora Group, Llc × 75% – 100% of Ancora Advisors Llc × 75% – 100% of Source Companies Llc × 75% – 100% direct ≈ 10.01% – 100% of the firm
- Ferdinand Ffp Ultimate Holdings, Lp: 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% of Ancora Holdings Group, Llc × 75% – 100% of The Ancora Group, Llc × 75% – 100% of Ancora Advisors Llc × 75% – 100% of Source Companies Llc × 75% – 100% direct ≈ 10.01% – 100% of the firm
- Ferdinand Ffp Intermediate Holdings, Llc: 75% – 100% of Ferdinand Ffp Acquisition, Llc × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% of Ancora Holdings Group, Llc × 75% – 100% of The Ancora Group, Llc × 75% – 100% of Ancora Advisors Llc × 75% – 100% of Source Companies Llc × 75% – 100% direct ≈ 7.51% – 100% of the firm
- Ferdinand Ffp Parent, Inc.: 75% – 100% of Ferdinand Ffp Intermediate Holdings, Llc × 75% – 100% of Ferdinand Ffp Acquisition, Llc × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% of Ancora Holdings Group, Llc × 75% – 100% of The Ancora Group, Llc × 75% – 100% of Ancora Advisors Llc × 75% – 100% of Source Companies Llc × 75% – 100% direct ≈ 5.63% – 100% of the firm
- Cd&R Ferdinand Holdings, L.P.: 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% of Ancora Holdings Group, Llc × 75% – 100% of The Ancora Group, Llc × 75% – 100% of Ancora Advisors Llc × 75% – 100% of Source Companies Llc × 75% – 100% direct ≈ 5.01% – 75% of the firm
- Clayton, Dubilier & Rice Fund Xii, L.P.: 50% – 75% of Cd&R Ferdinand Holdings, L.P. × 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% of Ancora Holdings Group, Llc × 75% – 100% of The Ancora Group, Llc × 75% – 100% of Ancora Advisors Llc × 75% – 100% of Source Companies Llc × 75% – 100% direct ≈ 2.5% – 56.25% of the firm
- Cd&R Ferdinand Co Investor, L.P.: 25% – 50% of Cd&R Ferdinand Holdings, L.P. × 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% of Ancora Holdings Group, Llc × 75% – 100% of The Ancora Group, Llc × 75% – 100% of Ancora Advisors Llc × 75% – 100% of Source Companies Llc × 75% – 100% direct ≈ 1.25% – 37.5% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (23)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Mcdonald Hopkins Llc Profit Sharing Plan | Mcdonald Hopkins Llc | 318 | $140M | 10/01/2024 |
| Sokol And Company 401(k) Salary Reduction Plan And Trust | Sc Bcp Acquisition Company, Llc | 81 | $8.4M | 01/01/2024 |
| Winston Products, Llc 401(k) Plan | Winston Products, Llc | 105 | $5.4M | 01/01/2024 |
| Steamboat Is, Inc. 401(k) Profit Sharing Plan And Trust | Steamboat Is, Inc. | 317 | $26.3M | 01/01/2024 |
| The Winter Construction Company 401(k) Retirement Savings | The Winter Construction | 216 | $28.9M | 01/01/2024 |
| Medic Management Group 401(k) Plan | Medic Management Group, Llc | 130 | $4.8M | 01/01/2024 |
| Aml Rightsource, Llc 401(k) Profit Sharing Plan | Aml Rightsource, Llc | 1,778 | $33.1M | 01/01/2024 |
| Norman Noble, Inc. 401(k) Retirement Savings Plan | Norman Noble, Inc. | 519 | $42.0M | 01/01/2024 |
| Wright Tool Company Retirement Savings Plan And Trust | Wright Tool Company | 159 | $10.3M | 01/01/2024 |
| Fathom Seo, Llc 401(k) Plan | Fathom Seo, Llc | 1 | $7.6M | 01/01/2024 |
| Stanz Troyer Holdings, Llc | Stanz Troyer Holdings, Llc | 444 | $18.6M | 01/01/2024 |
| Mcpc Holdings, Inc. 401(k) Profit Sharing Plan | Mcpc Holdings, Inc. | 475 | $29.9M | 01/01/2024 |
| Hf Group Llc 401(k) Plan | Hf Group Llc | 212 | $8.8M | 01/01/2024 |
| The Brewer Garrett Company 401(k) Ps Plan | The Brewer Garrett Company | 200 | $24.6M | 01/01/2024 |
| The Revenue Assistance Corp., 401(k) Retirement Plan | Revenue Assistance Corp. The Revenue Group | 232 | $6.9M | 01/01/2024 |
| Famous Enterprises, Inc. Employee Savings 401(k) Plan | Famous Enterprises, Inc. | 948 | $44.3M | 01/01/2024 |
| Vocon 401(k) Retirement Savings Plan | Vocon Design, Inc. | 229 | $19.8M | 01/01/2024 |
| Gardiner Service Company Profit Sharing & Savings Plan | Gardiner Service Company | 256 | $39.1M | 01/01/2024 |
| Planet Equity Group, Llc 401(k) Plan | Planet Equity Group, Llc | 1,310 | $53.3M | 01/01/2024 |
| Alliance Solutions Group Llc Powered By Talentlaunch 401(k) Plan | Alliance Solutions Group Llc | 841 | $4.7M | 01/01/2024 |
| Chromascape Inc. 401(k) Plan | Chromascape Inc. | 217 | $10.4M | 01/01/2024 |
| The Centers For Families And Children Defined Contribution Retirement Plan | The Centers For Families And Children | 638 | $25.6M | 01/01/2024 |
| Ancora Mep | Canterbury Capital, Llc | 195 | $6.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.34 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • REVENUE SHARING WITH FRS, AND ON CREDIT AND CASH MGMT SOLUTIONS
Services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Mid Atlantic Capital Corporation $182M (46% of AUM) Oct 2018
- Fidelity Brokerage Services $108M (27% of AUM) Oct 2018
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗