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Investment Adviser Firm Summary

ANCORA FAMILY WEALTH ADVISORS, LLC (CRD# 124845 / SEC# 801-61942)
Alternate Names: ANCORA , ANCORA FAMILY WEALTH ADVISORS, INC. , ANCORA FAMILY WEALTH ADVISORS, LLC , ANCORA INVERNESS, LLC , INVERNESS INVESTMENT GROUP, LLC , TCG ASSET MANAGEMENT , TCG ASSET MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/03/2003
Ohio Terminated 04/03/2003

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 03/31/2017
California 03/31/2017
Colorado 03/31/2017
Connecticut 03/31/2017
Florida 05/23/2011
Georgia 03/31/2017
Illinois 06/06/2011
Indiana 03/31/2017
Kentucky 03/31/2017
Massachusetts 03/31/2017
Michigan 03/31/2017
Minnesota 03/31/2017
Montana 03/31/2017
New Jersey 04/26/2017
New York 05/20/2011
North Carolina 03/31/2017
Ohio 04/09/2003
Pennsylvania 09/02/2011
South Carolina 03/31/2017
South Dakota 03/31/2017
Texas 03/31/2017
Virginia 03/31/2017
Wisconsin 03/31/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser