ANCORA ADVISORS, LLC

HTTP://WWW.ANCORA.NET/ • CLEVELAND, OH • Investment Advisor • Hedge Fund • Activist Investor How do I update this listing?

Ancora Advisors is based out of Cleveland. Ancora Advisors is a large advisory firm with 290 clients and discretionary assets under management (AUM) of $2,774,053,406 (Form ADV from 2019-03-20). Their last reported 13F filing for Q3 2019 included $2,291,711,000 in managed 13F securities and a top 10 holdings concentration of 15.13%. Ancora Advisors's largest holding is iShares 3-7 Year Treasury Bond ETF with shares held of 419,940. Ancora Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 58 13F filings, 66 13D filings, and 14 13G filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $2.292 Billion
  • Prior Market Value $2.23 Billion
  • New Purchases103 stocks
  • Additional Purchases236 stocks
  • Sold out of58 stocks
  • Reduced holdings in184 stocks
  • Top 10 Holdings % 15.13 %
  • Turnover % [1]:25.76%
  • Turnover Alt % [2]: 17.60 %
  • Time Held Top20:7.40 quarters
  • Time Held Top10:9.00 quarters
  • Time Held All:13.21 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 4.65%
Performance Last 4 Quarters: 14.74%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
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Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
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13F Filings Available:
  • 2019-09-30 - 13F-HR/A (Subscription required)
  • 2019-09-30 - 13F-HR/A (Subscription required)
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR/A (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR/A (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR/A (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR/A (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR/A (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR/A (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR/A (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR/A (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR/A (Subscription required)
  • 2011-06-30 - 13F-HR/A (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR/A (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
ANCORA FAMILY WEALTH ADVISORS, LLC
RUSSELL FRANK CO/

View Last Form Adv Compilation Report on Record

ANCORA ADVISORS LLC
Classified as Hedge Fund
6060 PARKLAND BOULEVARD SUITE 200
MAYFIELD HEIGHTS OH    44124
Country: United States
Business Phone: 216-825-4000
Fax: 216-825-4011
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: NV
Number of employees: 50
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 348,015,000
Total Number of Clients: 290
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (2),11.C (5),11.D (2),11.D (4),11.E (2),11.E (4)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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ANCORA ADVISORS LLC

ownership team - last updated 2019-03-20
Name Title Start Date Direct/Indirect % Ownership
ZUCKER, BRADLEY, ALAN CHIEF FINANCIAL OFFICER 01/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
SAFEGUARD SECURITIES, INC. FINOP direct 2012-01-01
ANCORA ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2003-01-01
DISANTO, FREDERICK, DAVID CHIEF EXECUTIVE OFFICER, CHAIRMAN 11/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
GELFAND MAXUS ASSET MANAGEMENT INC EXECUTIVE VICE PRES/DIRECTOR direct 1997-07-01
ANCORA ADVISORS LLC CHIEF EXECUTIVE OFFICER, CHAIRMAN direct 2006-11-01
ANCORA INVERNESS, LLC CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2015-12-01
ANCORA ADVISORS LLC PRESIDENT direct 2006-11-01 2011-07-21
ANCORA ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 2006-11-01 2014-07-28
FAIRWAY SPORTS MANAGEMENT, LLC MEMBER direct 2007-07-01 2016-03-21
THE ANCORA GROUP, INC. SHAREHOLDER 01/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
SAFEGUARD SECURITIES, INC. SHAREHOLDER indirect 2010-01-01
ANCORA ADVISORS LLC SHAREHOLDER direct 2010-01-01
ANCORA ADVISORS LLC SHAREHOLDER indirect 2010-01-01
SPIDALIERI, JOSEPH, MICHAEL CHIEF OPERATING OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ANCORA ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2011-04-01
ANCORA ADVISORS LLC CHIEF OPERATIONS OFFICER direct 2017-03-01
MICKLITSCH, JOHN, PEWTERS CHIEF INVESTMENT OFFICER 09/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ANCORA ADVISORS LLC SHAREHOLDER direct 2006-12-01
ANCORA ADVISORS LLC CHIEF INVESTMENT OFFICER direct 2013-09-01
ANCORA INVERNESS, LLC CHIEF INVESTMENT OFFICER direct 2015-12-01
GEERS, JASON, P CHIEF COMPLIANCE OFFICER 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ANCORA ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2016-06-01
Cunningham, Tricia, Marie RISK OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ANCORA ADVISORS LLC RISK OFFICER direct 2018-08-01
ANCORA HOLDINGS, INC. OWNER THE ANCORA GROUP, INC. 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SAFEGUARD SECURITIES, INC. SHAREHOLDER indirect 2015-12-01
ANCORA ADVISORS LLC OWNER indirect 2015-12-01
INVERNESS INVESTMENT GROUP, LLC OWNER indirect 2015-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ANCORA MERLIN LP United States 805-1602092219 Hedge Fund 22,293,066 200,000
ANCORA CATAYLST, LP United States 805-4124142301 Hedge Fund 7,451,164 500,000
ANCORA CATAYLST SPV I LP United States 805-3122012660 Hedge Fund 17,357,286 500,000
ANCORA CATAYLST INSTITUTIONAL, LP United States 805-2451484807 Hedge Fund 101,479,104 500,000
AAMAF, LP United States 805-3220056646 Hedge Fund 6,256,152 500,000
ANCORA MERLIN INSTITUTIONAL, LP United States 805-8980493091 Hedge Fund 188,135,319 200,000
BIRCHWALD PARTNERS LP United States 805-1926864372 Hedge Fund 0 500,000

ANCORA ADVISORS LLC

ownership team - last updated 2017-07-25
Name Title Start Date Direct/Indirect % Ownership
GEERS, JASON, P CHIEF COMPLIANCE OFFICER 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ANCORA ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2016-06-01
MICKLITSCH, JOHN, PEWTERS CHIEF INVESTMENT OFFICER 09/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ANCORA ADVISORS LLC SHAREHOLDER direct 2006-12-01
ANCORA ADVISORS LLC CHIEF INVESTMENT OFFICER direct 2013-09-01
ANCORA INVERNESS, LLC CHIEF INVESTMENT OFFICER direct 2015-12-01
SPIDALIERI, JOSEPH, MICHAEL CHIEF OPERATIONS OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ANCORA ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2011-04-01
ANCORA ADVISORS LLC CHIEF OPERATIONS OFFICER direct 2017-03-01
THE ANCORA GROUP, INC. SHAREHOLDER 01/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
SAFEGUARD SECURITIES, INC. SHAREHOLDER indirect 2010-01-01
ANCORA ADVISORS LLC SHAREHOLDER direct 2010-01-01
ANCORA ADVISORS LLC SHAREHOLDER indirect 2010-01-01
DISANTO, FREDERICK, DAVID CHIEF EXECUTIVE OFFICER, CHAIRMAN 11/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
GELFAND MAXUS ASSET MANAGEMENT INC EXECUTIVE VICE PRES/DIRECTOR direct 1997-07-01
ANCORA ADVISORS LLC CHIEF EXECUTIVE OFFICER, CHAIRMAN direct 2006-11-01
ANCORA INVERNESS, LLC CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2015-12-01
ANCORA ADVISORS LLC PRESIDENT direct 2006-11-01 2011-07-21
ANCORA ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 2006-11-01 2014-07-28
FAIRWAY SPORTS MANAGEMENT, LLC MEMBER direct 2007-07-01 2016-03-21
ZUCKER, BRADLEY, ALAN CHIEF FINANCIAL OFFICER 01/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
SAFEGUARD SECURITIES, INC. FINOP direct 2012-01-01
ANCORA ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2003-01-01
ANCORA HOLDINGS, INC. OWNER THE ANCORA GROUP, INC. 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SAFEGUARD SECURITIES, INC. SHAREHOLDER indirect 2015-12-01
ANCORA ADVISORS LLC OWNER indirect 2015-12-01
INVERNESS INVESTMENT GROUP, LLC OWNER indirect 2015-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ANCORA CATAYLST FUND LP United States 805-2451484807 Hedge Fund 51,289,725 500,000
AAMAF, LP United States 805-3220056646 Hedge Fund 50,916,576 500,000
MERLIN PARTNERS LP United States 805-8980493091 Hedge Fund 148,294,388 200,000
ANCORA GREATER CHINA FUND United States 805-3511909793 Hedge Fund 0 200,000
BIRCHWALD PARTNERS LP United States 805-1926864372 Hedge Fund 26,767,770 500,000

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