# Ancora Retirement Plan Advisors, LLC

> Ancora Retirement Plan Advisors, LLC is an SEC-registered investment advisory firm in Cleveland, OH, registered since 2007, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 31256
- Filed as: ANCORA RETIREMENT PLAN ADVISORS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Cleveland, OH
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/31256
- AdvisorCensus page: https://advisorcensus.com/firm/ancora-retirement-plan-advisors-llc-cleveland-oh-31256

## Quick answers

**How is Ancora Retirement Plan Advisors, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Ancora Retirement Plan Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); other.

**Where is Ancora Retirement Plan Advisors, LLC located?**
Ancora Retirement Plan Advisors, LLC's principal office is in Cleveland, OH, according to its Form ADV.

**Is Ancora Retirement Plan Advisors, LLC registered with the SEC or a state?**
Ancora Retirement Plan Advisors, LLC is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 31256.

**How much does Ancora Retirement Plan Advisors, LLC manage?**
Ancora Retirement Plan Advisors, LLC reports $1,534,388,933 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (0% discretionary).

**How have Ancora Retirement Plan Advisors, LLC's assets and staff changed since 2021?**
In the Form ADV data for Ancora Retirement Plan Advisors, LLC: Regulatory assets under management: $679,173,961 in the October 2021 data and $1,534,388,933 in the October 2026 data, up 126%. Total employees: 43 in October 2021 and 41 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Ancora Retirement Plan Advisors, LLC serve?**
By number of clients on Form ADV Item 5.D: corporations or other businesses not listed above (150); individuals (other than high net worth individuals) (4); charitable organizations (3).

**Does Ancora Retirement Plan Advisors, LLC report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation) and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/31256

**What changed in Ancora Retirement Plan Advisors, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 21 to 22. Regulatory assets under management went from $1,305,499,514 to $1,534,388,933 (+18%). Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Other

### Regulatory assets under management (Item 5.F)
- Total: $1,534,388,933
- Discretionary: $0
- Non-discretionary: $1,534,388,933

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 4 | $1,140,429 |
| Charitable organizations | 3 | $40,227,998 |
| Corporations or other businesses not listed above | 150 | $1,493,020,506 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Other

### Firm details
- Registered since: 2007 (19 years)
- Employees: 41 total, 22 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: IL, LA, OH, TX
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/31256

### Websites listed on Form ADV (Item 1.I)
- ancora.net
- focusfinancialpartners.com
- invernesswealth.com
- LinkedIn @2064318
- LinkedIn @ancora-holdings
- X @ancoraholdings
- X @focusfinancial

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $679,173,961 | 43 | September 28, 2021 |
| October 2022 | $856,421,851 | 41 | August 24, 2022 |
| October 2023 | $791,785,431 | 43 | September 29, 2023 |
| October 2024 | $1,056,233,620 | 42 | March 28, 2024 |
| October 2025 | $1,305,499,514 | 44 | March 27, 2025 |
| October 2026 | $1,534,388,933 | 41 | March 31, 2026 |

Regulatory assets under management: $679,173,961 in the October 2021 data and $1,534,388,933 in the October 2026 data, up 126%.
Total employees: 43 in October 2021 and 41 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 21 to 22.
- Regulatory assets under management went from $1,305,499,514 to $1,534,388,933 (+18%).
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Ancora Retirement Plan Advisors, LLC (CRD 31256): Form ADV filing data as of October 2026.