ANCORA ADVISORS, LLC

HTTPS://www.linkedin.com/company/ancora-holdings • CLEVELAND, OH • Investment Advisor • Hedge Fund • Activist Investor
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Ancora Advisors is based out of Cleveland. Ancora Advisors is a hedge fund with 334 clients and discretionary assets under management (AUM) of $2,243,946,116 (Form ADV from 2023-03-30). Their last reported 13F filing for Q2 2023 included $3,792,466,776 in managed 13F securities and a top 10 holdings concentration of 30.36%. Ancora Advisors's largest holding is RB Global Inc with shares held of 3,485,971. Whalewisdom has at least 80 13F filings, 105 13D filings, 21 13G filings, and 9 Form 4 filings

06/30/2023

13F Activity

  • Market Value $3.802 Billion
  • Prior Market Value $3.526 Billion
  • New Purchases85 stocks
  • Additional Purchases368 stocks
  • Sold out of238 stocks
  • Reduced holdings in416 stocks
  • Top 10 Holdings % 30.29 %
  • Turnover % [1]:17.71%
  • Turnover Alt % [2]: 3.68 %
  • Time Held Top20:10.80 quarters
  • Time Held Top10:10.40 quarters
  • Time Held All:13.42 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.

06/30/2023

13F Sector Allocation Over Time

Fund Metrics

You are limited to the prior 8 quarters of 13F filings. Subscribe to WhaleWisdom to view all filing data for ANCORA ADVISORS, LLC

Portfolio Analysis

Classifications:

Q2 2023:

  • Subscription Required

Consistent Across Past 12 Quarters:

  • Subscription Required
  • Subscription Required
Type of 13F Disclosure 13F Holdings Report
% of holdings ETF 31.03
% of top 20 holdings the same as top 20 most commonly held by all managers 35.0%
ALL HOLDINGS TOP-20 HOLDINGS
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Sector Allocation 0.146% () 27.123% (FINANCE) 6.667% 4.465% 5.686% (CONSUMER DISCRETIONARY) 21.353% (INDUSTRIALS) 14.286% 13.773%

Risk/Reward Analysis

Portfolio Market Cap Analysis

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2023-08-14

Performance for Q2 2023: 10.17%
Performance Last 4 Quarters: 12.16%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
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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
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required
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*Shares are split adjusted
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
Clutterbuck Capital Management LLC
Ancora Alternatives LLC

Global (ex. US) Holdings

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Stale Holdings (no activity in past 21-months or sold out)

Source: Refinitiv. Stale holdings data removed after 21-months of inactivity.

View Last Form Adv Compilation Report on Record

ANCORA ADVISORS LLC
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: 60
Other Business Activities: ,CREDIT AND CASH MANAGEMENT SOLUTIONS
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees,REVENUE SHARING WITH AFFILIATE, FOCUS TREASURY & CREDIT SOLUTION
Amount of client funds and securities:
Total Number of Clients: 334
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (2),11.C (5)
Data above was derived from SEC filings.

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ANCORA ADVISORS LLC

ownership team - last updated 2023-03-30
Name Title Start Date Direct/Indirect % Ownership
DISANTO, FREDERICK, DAVID CHIEF EXECUTIVE OFFICER, CHAIRMAN 11/01/2006 Direct less than 5%
max of 20 shown
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
MICKLITSCH, JOHN, PEWTERS CHIEF INVESTMENT OFFICER 09/01/2013 Direct less than 5%
max of 20 shown
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
THE ANCORA GROUP LLC MEMBER (MANAGER) 01/01/2010 Direct 75% or more
max of 20 shown
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
GEERS, JASON, P CHIEF COMPLIANCE OFFICER 06/01/2016 Direct less than 5%
max of 20 shown
Fund Name Position direct/indirect start date end date
ANCORA ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2016-06-01
SPIDALIERI, JOSEPH, MICHAEL CHIEF OPERATING OFFICER 03/01/2017 Direct less than 5%
max of 20 shown
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
Garrett, Brittney, Jean CHIEF FINANCIAL OFFICER 12/01/2020 Direct less than 5%
max of 20 shown
Fund Name Position direct/indirect start date end date
ANCORA FAMILY WEALTH ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2020-12-01
ANCORA RETIREMENT PLAN ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2020-12-01
ANCORA ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2020-12-01
FOCUS FINANCIAL PARTNERS, LLC MEMBER FOCUS OPERATING, LLC 07/01/2007 Indirect 75% or more
max of 20 shown
Fund Name Position direct/indirect start date end date
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
CAPITAL ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
CAG ACQUISITION, LLC SHAREHOLDER indirect 2006-12-01
CAG ACQUISITION, LLC MEMBER indirect 2006-12-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER indirect 2007-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER (MANAGER) indirect 2006-12-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2005-07-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2007-01-01
GW & WADE, LLC MEMBER indirect 2007-01-01
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2007-01-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
SENTINEL PENSION ADVISORS INC DIRECT OWNER direct 2007-01-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2007-01-01
GELLER ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
GELLER ADVISORY GROUP LTD SHAREHOLDER direct 2006-01-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2007-01-01
FOCUS OPERATING, LLC MEMBER (MANAGER) ANCORA HOLDINGS GROUP, LLC 10/01/2021 Indirect 75% or more
max of 20 shown
Fund Name Position direct/indirect start date end date
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
ETON ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-09-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-02-01
BAM ADVISOR SERVICES, LLC MEMBER direct 2007-02-01
BAM ADVISOR SERVICES, LLC MEMBER (MANAGER) direct 2007-02-01
HOYLECOHEN, LLC MEMBER (MANAGER) direct 2006-05-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
CAG ACQUISITION, LLC MANAGING MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAPITAL ADVISORY GROUP, LLC MEMBER (MANAGER) direct 2006-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2006-12-01
GW & WADE, LLC MEMBER (MANAGER) indirect 2007-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER direct 2006-01-01
SCS CAPITAL MANAGEMENT LLC MEMBER (MANAGER) direct 2017-07-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
SENTINEL PENSION ADVISORS INC MEMBER direct 2007-01-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER direct 2006-06-01
GW & WADE, LLC MEMBER (MANAGER) direct 2007-09-01
FOCUS FINANCIAL PARTNERS INC. MEMBER FOCUS FINANCIAL PARTNERS, LLC 07/01/2018 Indirect 75% or more
max of 20 shown
Fund Name Position direct/indirect start date end date
TELEMUS CAPITAL, LLC MEMBER indirect 2018-07-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2018-07-01
HOYLECOHEN, LLC MEMBER indirect 2018-07-01
THE COLONY GROUP, LLC MEMBER indirect 2018-07-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2018-07-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2018-07-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2018-07-01
XML FINANCIAL, LLC MEMBER indirect 2018-07-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2018-07-01
BFSG, LLC MEMBER indirect 2018-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2018-07-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2018-07-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2018-07-01
CORNERSTONE WEALTH GROUP, LLC MEMBER indirect 2018-07-01
GW & WADE, LLC MEMBER indirect 2018-07-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2018-07-01
FORTEM FINANCIAL GROUP, LLC MEMBER indirect 2018-07-01
VESTOR CAPITAL, LLC MEMBER indirect 2018-07-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2018-07-01
ANCORA HOLDINGS GROUP, LLC MEMBER (MANAGER) THE ANCORA GROUP LLC 10/01/2021 Indirect 75% or more
max of 20 shown
Fund Name Position direct/indirect start date end date
ANCORA ALTERNATIVES LLC MEMBER direct 2021-10-01
ANCORA ADVISORS LLC MEMBER (MANAGER) indirect 2021-10-01
ANCORA FAMILY WEALTH ADVISORS, LLC MEMBER (MANAGER) indirect 2021-10-01

ANCORA ADVISORS LLC

ownership team - last updated 2022-03-24
Name Title Start Date Direct/Indirect % Ownership
DISANTO, FREDERICK, DAVID CHIEF EXECUTIVE OFFICER, CHAIRMAN 11/01/2006 Direct less than 5%
max of 20 shown
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
MICKLITSCH, JOHN, PEWTERS CHIEF INVESTMENT OFFICER 09/01/2013 Direct less than 5%
max of 20 shown
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
THE ANCORA GROUP LLC MEMBER (MANAGER) 01/01/2010 Direct 75% or more
max of 20 shown
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
GEERS, JASON, P CHIEF COMPLIANCE OFFICER 06/01/2016 Direct less than 5%
max of 20 shown
Fund Name Position direct/indirect start date end date
ANCORA ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2016-06-01
SPIDALIERI, JOSEPH, MICHAEL CHIEF OPERATING OFFICER 03/01/2017 Direct less than 5%
max of 20 shown
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
Garrett, Brittney, Jean CHIEF FINANCIAL OFFICER 12/01/2020 Direct less than 5%
max of 20 shown
Fund Name Position direct/indirect start date end date
ANCORA FAMILY WEALTH ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2020-12-01
ANCORA RETIREMENT PLAN ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2020-12-01
ANCORA ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2020-12-01
FOCUS FINANCIAL PARTNERS, LLC MEMBER FOCUS OPERATING, LLC 07/01/2007 Indirect 75% or more
max of 20 shown
Fund Name Position direct/indirect start date end date
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
CAPITAL ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
CAG ACQUISITION, LLC SHAREHOLDER indirect 2006-12-01
CAG ACQUISITION, LLC MEMBER indirect 2006-12-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER indirect 2007-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER (MANAGER) indirect 2006-12-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2005-07-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2007-01-01
GW & WADE, LLC MEMBER indirect 2007-01-01
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2007-01-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
SENTINEL PENSION ADVISORS INC DIRECT OWNER direct 2007-01-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2007-01-01
GELLER ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
GELLER ADVISORY GROUP LTD SHAREHOLDER direct 2006-01-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2007-01-01
FOCUS OPERATING, LLC MEMBER (MANAGER) ANCORA HOLDINGS GROUP, LLC 10/01/2021 Indirect 75% or more
max of 20 shown
Fund Name Position direct/indirect start date end date
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
ETON ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-09-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-02-01
BAM ADVISOR SERVICES, LLC MEMBER direct 2007-02-01
BAM ADVISOR SERVICES, LLC MEMBER (MANAGER) direct 2007-02-01
HOYLECOHEN, LLC MEMBER (MANAGER) direct 2006-05-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
CAG ACQUISITION, LLC MANAGING MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAPITAL ADVISORY GROUP, LLC MEMBER (MANAGER) direct 2006-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2006-12-01
GW & WADE, LLC MEMBER (MANAGER) indirect 2007-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER direct 2006-01-01
SCS CAPITAL MANAGEMENT LLC MEMBER (MANAGER) direct 2017-07-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
SENTINEL PENSION ADVISORS INC MEMBER direct 2007-01-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER direct 2006-06-01
GW & WADE, LLC MEMBER (MANAGER) direct 2007-09-01
FOCUS FINANCIAL PARTNERS INC. MEMBER FOCUS FINANCIAL PARTNERS, LLC 07/01/2018 Indirect 75% or more
max of 20 shown
Fund Name Position direct/indirect start date end date
TELEMUS CAPITAL, LLC MEMBER indirect 2018-07-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2018-07-01
HOYLECOHEN, LLC MEMBER indirect 2018-07-01
THE COLONY GROUP, LLC MEMBER indirect 2018-07-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2018-07-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2018-07-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2018-07-01
XML FINANCIAL, LLC MEMBER indirect 2018-07-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2018-07-01
BFSG, LLC MEMBER indirect 2018-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2018-07-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2018-07-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2018-07-01
CORNERSTONE WEALTH GROUP, LLC MEMBER indirect 2018-07-01
GW & WADE, LLC MEMBER indirect 2018-07-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2018-07-01
FORTEM FINANCIAL GROUP, LLC MEMBER indirect 2018-07-01
VESTOR CAPITAL, LLC MEMBER indirect 2018-07-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2018-07-01
ANCORA HOLDINGS GROUP, LLC MEMBER (MANAGER) THE ANCORA GROUP LLC 10/01/2021 Indirect 75% or more
max of 20 shown
Fund Name Position direct/indirect start date end date
ANCORA ALTERNATIVES LLC MEMBER direct 2021-10-01
ANCORA ADVISORS LLC MEMBER (MANAGER) indirect 2021-10-01
ANCORA FAMILY WEALTH ADVISORS, LLC MEMBER (MANAGER) indirect 2021-10-01

ANCORA ADVISORS LLC

ownership team - last updated 2021-10-29
Name Title Start Date Direct/Indirect % Ownership
DISANTO, FREDERICK, DAVID CHIEF EXECUTIVE OFFICER, CHAIRMAN 11/01/2006 Direct less than 5%
max of 20 shown
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
MICKLITSCH, JOHN, PEWTERS CHIEF INVESTMENT OFFICER 09/01/2013 Direct less than 5%
max of 20 shown
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
THE ANCORA GROUP LLC MEMBER (MANAGER) 01/01/2010 Direct 75% or more
max of 20 shown
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
GEERS, JASON, P CHIEF COMPLIANCE OFFICER 06/01/2016 Direct less than 5%
max of 20 shown
Fund Name Position direct/indirect start date end date
ANCORA ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2016-06-01
SPIDALIERI, JOSEPH, MICHAEL CHIEF OPERATING OFFICER 03/01/2017 Direct less than 5%
max of 20 shown
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
FOCUS FINANCIAL PARTNERS, LLC MEMBER FOCUS OPERATING, LLC 07/01/2007 Indirect 75% or more
max of 20 shown
Fund Name Position direct/indirect start date end date
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
CAPITAL ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
CAG ACQUISITION, LLC SHAREHOLDER indirect 2006-12-01
CAG ACQUISITION, LLC MEMBER indirect 2006-12-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER indirect 2007-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER (MANAGER) indirect 2006-12-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2005-07-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2007-01-01
GW & WADE, LLC MEMBER indirect 2007-01-01
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2007-01-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
SENTINEL PENSION ADVISORS INC DIRECT OWNER direct 2007-01-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2007-01-01
GELLER ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
GELLER ADVISORY GROUP LTD SHAREHOLDER direct 2006-01-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2007-01-01
FOCUS OPERATING, LLC MEMBER (MANAGER) ANCORA HOLDINGS GROUP, LLC 10/01/2021 Indirect 75% or more
max of 20 shown
Fund Name Position direct/indirect start date end date
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
ETON ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-09-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-02-01
BAM ADVISOR SERVICES, LLC MEMBER direct 2007-02-01
BAM ADVISOR SERVICES, LLC MEMBER (MANAGER) direct 2007-02-01
HOYLECOHEN, LLC MEMBER (MANAGER) direct 2006-05-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
CAG ACQUISITION, LLC MANAGING MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAPITAL ADVISORY GROUP, LLC MEMBER (MANAGER) direct 2006-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2006-12-01
GW & WADE, LLC MEMBER (MANAGER) indirect 2007-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER direct 2006-01-01
SCS CAPITAL MANAGEMENT LLC MEMBER (MANAGER) direct 2017-07-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
SENTINEL PENSION ADVISORS INC MEMBER direct 2007-01-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER direct 2006-06-01
GW & WADE, LLC MEMBER (MANAGER) direct 2007-09-01
FOCUS FINANCIAL PARTNERS INC. MEMBER FOCUS FINANCIAL PARTNERS, LLC 07/01/2018 Indirect 75% or more
max of 20 shown
Fund Name Position direct/indirect start date end date
TELEMUS CAPITAL, LLC MEMBER indirect 2018-07-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2018-07-01
HOYLECOHEN, LLC MEMBER indirect 2018-07-01
THE COLONY GROUP, LLC MEMBER indirect 2018-07-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2018-07-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2018-07-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2018-07-01
XML FINANCIAL, LLC MEMBER indirect 2018-07-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2018-07-01
BFSG, LLC MEMBER indirect 2018-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2018-07-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2018-07-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2018-07-01
CORNERSTONE WEALTH GROUP, LLC MEMBER indirect 2018-07-01
GW & WADE, LLC MEMBER indirect 2018-07-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2018-07-01
FORTEM FINANCIAL GROUP, LLC MEMBER indirect 2018-07-01
VESTOR CAPITAL, LLC MEMBER indirect 2018-07-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2018-07-01
ANCORA HOLDINGS GROUP, LLC MEMBER (MANAGER) THE ANCORA GROUP LLC 10/01/2021 Indirect 75% or more
max of 20 shown
Fund Name Position direct/indirect start date end date
ANCORA ALTERNATIVES LLC MEMBER direct 2021-10-01
ANCORA ADVISORS LLC MEMBER (MANAGER) indirect 2021-10-01
ANCORA FAMILY WEALTH ADVISORS, LLC MEMBER (MANAGER) indirect 2021-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ANCORA CATALYST SPV I, LP - SERIES P United States 805-6476015733 Hedge Fund 5,631,245 500,000
ANCORA CATALYST SPV I SPC LTD SEG PORTFOLIO E Cayman Islands 805-3702527763 Hedge Fund 50,270,687 500,000
ANCORA CATALYST SPV I, LP - SERIES I United States 805-6957575574 Hedge Fund 15,395,732 500,000
ANCORA CATALYST SPV I SPC LTD SEG PORTFOLIO F Cayman Islands 805-2192477352 Hedge Fund 13,692,557 500,000
ANCORA CATAYLST INSTITUTIONAL, LP United States 805-2451484807 Hedge Fund 191,657,447 500,000 Master Fund
ANCORA MERLIN INSTITUTIONAL, LP United States 805-8980493091 Hedge Fund 240,966,384 200,000 Master Fund
ANCORA COMMODITY FUND LP United States 805-9537983566 Hedge Fund 8,081,934 500,000
ANCORA MERLIN LP United States 805-1602092219 Hedge Fund 20,546,124 200,000
ANCORA CATAYLST, LP United States 805-4124142301 Hedge Fund 14,938,841 500,000
ANCORA CATALYST SPV I, LP - SERIES J United States 805-5543162190 Hedge Fund 19,843,030 500,000
ANCORA CATALYST SPV I, LP - SERIES K United States 805-6343107789 Hedge Fund 21,027,557 500,000
ANCORA CATALYST SPV I, LP - SERIES L United States 805-3685877245 Hedge Fund 9,500,447 500,000
ANCORA CATALYST SPV I, LP - SERIES N United States 805-9358523542 Hedge Fund 15,845,174 500,000
ANCORA CATALYST SPV I, LP - SERIES O United States 805-4984305340 Hedge Fund 15,534,621 500,000
ANCORA CATALYST SPV I, LP - SERIES M United States 805-2564392204 Hedge Fund 17,516,644 500,000

ANCORA ADVISORS LLC

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
DISANTO, FREDERICK, DAVID CHIEF EXECUTIVE OFFICER, CHAIRMAN 11/01/2006 Direct less than 5%
max of 20 shown
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
MICKLITSCH, JOHN, PEWTERS CHIEF INVESTMENT OFFICER 09/01/2013 Direct less than 5%
max of 20 shown
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
THE ANCORA GROUP, INC. SHAREHOLDER 01/01/2010 Direct 75% or more
max of 20 shown
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
GEERS, JASON, P CHIEF COMPLIANCE OFFICER 06/01/2016 Direct less than 5%
max of 20 shown
Fund Name Position direct/indirect start date end date
ANCORA ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2016-06-01
SPIDALIERI, JOSEPH, MICHAEL CHIEF OPERATING OFFICER 03/01/2017 Direct less than 5%
max of 20 shown
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
ANCORA HOLDINGS, INC. OWNER THE ANCORA GROUP, INC. 12/01/2015 Indirect 75% or more
max of 20 shown
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 CATALYST SPV I, LP - SERIES K United States 805-6343107789 Hedge Fund 21,027,557 500,000
ANCORA CATALYST SPV I, LP - SERIES L United States 805-3685877245 Hedge Fund 9,500,447 500,000
ANCORA CATALYST SPV I, LP - SERIES N United States 805-9358523542 Hedge Fund 15,845,174 500,000
ANCORA CATALYST SPV I, LP - SERIES O United States 805-4984305340 Hedge Fund 15,534,621 500,000
ANCORA CATALYST SPV I, LP - SERIES M United States 805-2564392204 Hedge Fund 17,516,644 500,000
ANCORA CATALYST SPV I, LP - SERIES P United States 805-6476015733 Hedge Fund 5,631,245 500,000
ANCORA CATALYST SPV I SPC LTD SEG PORTFOLIO E Cayman Islands 805-3702527763 Hedge Fund 50,270,687 500,000
ANCORA CATALYST SPV I, LP - SERIES I United States 805-6957575574 Hedge Fund 15,395,732 500,000
ANCORA CATALYST SPV I SPC LTD SEG PORTFOLIO F Cayman Islands 805-2192477352 Hedge Fund 13,692,557 500,000
ANCORA CATAYLST INSTITUTIONAL, LP United States 805-2451484807 Hedge Fund 191,657,447 500,000 Master Fund
ANCORA MERLIN INSTITUTIONAL, LP United States 805-8980493091 Hedge Fund 240,966,384 200,000 Master Fund
ANCORA COMMODITY FUND LP United States 805-9537983566 Hedge Fund 8,081,934 500,000
ANCORA MERLIN LP United States 805-1602092219 Hedge Fund 20,546,124 200,000
ANCORA CATAYLST, LP United States 805-4124142301 Hedge Fund 14,938,841 500,000
ANCORA CATALYST SPV I, LP - SERIES J United States 805-5543162190 Hedge Fund 19,843,030 500,000

ANCORA ADVISORS LLC

ownership team - last updated 2020-06-24
Name Title Start Date Direct/Indirect % Ownership
DISANTO, FREDERICK, DAVID CHIEF EXECUTIVE OFFICER, CHAIRMAN 11/01/2006 Direct less than 5%
max of 20 shown
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
MICKLITSCH, JOHN, PEWTERS CHIEF INVESTMENT OFFICER 09/01/2013 Direct less than 5%
max of 20 shown
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
THE ANCORA GROUP, INC. SHAREHOLDER 01/01/2010 Direct 75% or more
max of 20 shown
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
GEERS, JASON, P CHIEF COMPLIANCE OFFICER 06/01/2016 Direct less than 5%
max of 20 shown
Fund Name Position direct/indirect start date end date
ANCORA ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2016-06-01
SPIDALIERI, JOSEPH, MICHAEL CHIEF OPERATING OFFICER 03/01/2017 Direct less than 5%
max of 20 shown
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
ZUCKER, BRADLEY, ALAN CHIEF FINANCIAL OFFICER 01/01/2003 Direct less than 5%
max of 20 shown
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
Cunningham, Tricia, Marie RISK OFFICER 08/01/2018 Direct less than 5%
max of 20 shown
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
max of 20 shown
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 SPV I LP United States 805-3122012660 Hedge Fund 24,249,845 500,000
ANCORA CATAYLST INSTITUTIONAL, LP United States 805-2451484807 Hedge Fund 167,941,659 500,000
AAMAF, LP United States 805-3220056646 Hedge Fund 6,514,606 500,000
ANCORA MERLIN INSTITUTIONAL, LP United States 805-8980493091 Hedge Fund 259,892,003 200,000
ANCORA COMMODITY FUND LP United States 805-9537983566 Hedge Fund 5,714,405 500,000
ANCORA MERLIN LP United States 805-1602092219 Hedge Fund 27,045,052 200,000
ANCORA CATAYLST, LP United States 805-4124142301 Hedge Fund 12,564,276 500,000

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