ANCORA ADVISORS LLC

ANCORA ADVISORS LLC of MAYFIELD HEIGHTS, OH is an SEC-registered investment adviser (CRD 124674). Regulatory assets under management: $4.6B. This firm reports disciplinary history on Form ADV.

Registration

Business model

Compensation: % of AUM, Fixed, Performance, Other.

Clients served: High net worth, Pooled vehicles, Investment cos, Other.

Officers, owners & control persons (20)

NameRoleLocation
Bernard Josef MichaelSHAREHOLDERNew York, NY
Frederick David DisantoCHIEF EXECUTIVE OFFICER, CHAIRMAN
John Pewters MicklitschCHIEF INVESTMENT OFFICER; PRESIDENT
Jason P GeersCHIEF COMPLIANCE OFFICER
SCACCO GUSTAVE JOSEPHSHAREHOLDER
BARONE RICHARD ANTHONYCHAIRMAN; CHAIRMAN, CEO, COO; CHAIRMAN, COO (+3 more)
HOPKINS BRIAN RAYMONDVICE PRESIDENT
KUHR DAVID WILLIAMCHIEF COMPLIANCE OFFICER
ZUCKER BRADLEY ALANCHIEF FINANCIAL OFFICER
RAIMONDO JAMES GERARDSHAREHOLDER
DISANTO FRED DAVIDCHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, CHAIRMAN; PRESIDENT
AMATO DENIS JAMESCHIEF INVESTMENT OFFICER; SHAREHOLDER
WOIDKE ERIC FRANCISSHAREHOLDER
BARONE CHRISTOPHER RICHARDCHIEF COMPLIANCE OFFICER; SHAREHOLDER
MICKLITSCH JOHN PEWTERSCHIEF INVESTMENT OFFICER; SHAREHOLDER
CUNNINGHAM FREDA MARIERISK OFFICER
SPIDALIERI JOSEPH MICHAELCHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER; CHIEF OPERATIONS OFFICER
GARRETT ELIZABETH JEANCHIEF FINANCIAL OFFICER
GEERS JASON PCHIEF COMPLIANCE OFFICER
Matthew Martin D'AnniballeCHIEF FINANCIAL OFFICER

Disclosures (3)

InitiatedTypeAllegationsStatusAmount
2018-12-18regulatoryIN 2018 ANCORA ADVISORS LLC DISCOVERED, THROUGH A ROUTINE SEC REVIEW, THAT SOME EMPLOYEE CONTRIBUTIONS, OVER THE $350 ALLOWABLE LIMIT AND NOT IN COMPLIANCE WITH RULE 206(4)-5, WERE MADE.Final$100K

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