Asset manager · Cleveland, OH
Ancora Retirement Plan Advisors, LLC
SEC-registered investment adviser · CRD 31256 · SEC 801-67475
At a glance
Ancora Retirement Plan Advisors, LLC is an SEC-registered investment adviser based in Cleveland, Ohio, with $1.5 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is corporations or other businesses, and it reports 4 individual clients. By Form ADV it is a asset manager, ranked 1,154th of 3,218 asset managers and 4,211th of 17,210 SEC-registered advisers by assets.
Main office 216-593-5090ancora.netLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.5B
- Rank among asset managers
- #1,154 of 3,218
- Rank among all SEC RIAs
- #4,211 of 17,210
- Rank in Ohio
- #80 of 403
- Individual clients
- 4
- High-net-worth clients
- 0
- Accounts
- 161
- Discretionary
- 0% of AUM
- Employees
- 41
- Advisory staff
- 22
- Offices
- 1
Owners and executives on its Form ADV
- Jason P GeersCompliance Officer
- Irene R. WaltersChief Compliance Officer
- Frederick D. DisantoChairman & Chief Executive Officer
- William M. KoenigDirector
- John P. MicklitschChief Investment Officer
- Matthew M. D'AnniballeChief Financial Officer
Custody and brokerage
Custodian
Ancora Retirement Plan Advisors, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Ancora Retirement Plan Advisors, LLC is a hybrid RIA: 19 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Inverness Securities, LLC.
- Inverness Securities, LLC ↗CRD 129914
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, April 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Corporations or other businesses | 150 | $1.5B | 97% |
| Charitable organizations | 3 | $40M | 3% |
| Individuals | 4 | $1M | <1% |
Disciplinary disclosures
Ancora Retirement Plan Advisors, LLC answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗ancora.net ↗
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Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Rank against 952 peers of its type and size
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- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
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Background
Questions
How much does Ancora Retirement Plan Advisors, LLC manage?
Ancora Retirement Plan Advisors, LLC reports $1.5 billion in regulatory assets under management across 161 accounts, on its Form ADV filed March 31, 2026.
What kind of firm is Ancora Retirement Plan Advisors, LLC?
Ancora Retirement Plan Advisors, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Ancora Retirement Plan Advisors, LLC’s clients?
By assets, its largest client types are corporations or other businesses ($1.5 billion, 150 clients); charitable organizations ($40 million, 3 clients); individuals ($1 million, 4 clients).
Does Ancora Retirement Plan Advisors, LLC have any disciplinary history?
Ancora Retirement Plan Advisors, LLC answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Ancora Retirement Plan Advisors, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →