Ancora Retirement Plan Advisors, LLC

Registered investment adviser · Cleveland, OH · CRD #31256

Form ADV data as of 2026-09-01

Regulatory assets

$1.53 billion

Total accounts

161

Employees

Disclosure events

Firm details

Website: https://twitter.com/focusfinancial
Telephone: 216-593-5090
SEC file number: 801-67475
Most recent Form ADV filing: 2026-03-31
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 2 disclosure questions answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$0
Non-discretionary regulatory assets under management	$1.53 billion
Total regulatory assets under management	$1.53 billion
Discretionary accounts	0
Non-discretionary accounts	161
Total accounts	161
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	41
Employees performing investment advisory functions (including research)	22
Employees who are registered representatives of a broker-dealer	19
Employees registered as investment adviser representatives with a state	14
Employees registered as IARs for another investment adviser	14
Employees who are licensed insurance agents	9
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)Other

Advisory services offered

Portfolio management for individuals and/or small businessesOther

Other business activities

Other financial product salesperson

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Commodity pool operator or commodity trading advisorAccountant or accounting firmLawyer or law firmInsurance company or agencyPension consultantReal estate broker or dealerSponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	4	$1.1 million
Charitable organizations	3	$40.2 million
Corporations or other businesses not listed above	150	$1.49 billion