AdvisorCensus / Financial advisors / North Carolina / Charlotte / Linden Thomas Advisory Services, LLC
Linden Thomas Advisory Services, LLC
Filed as LINDEN THOMAS ADVISORY SERVICES, LLC
Linden Thomas Advisory Services, LLC is an SEC-registered investment advisory firm in Charlotte, NC, registered since 2017, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated May 27, 2026.
Quick answers
From the filingHow is Linden Thomas Advisory Services, LLC compensated?
On its Form ADV (Item 5.E, October 2026), Linden Thomas Advisory Services, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
What does Linden Thomas Advisory Services, LLC's brochure say about its fees?
Its Form ADV Part 2A brochure dated April 2, 2026 states: Asset-based fee: 0.2% to 1.6% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Linden Thomas Advisory Services, LLC located?
Linden Thomas Advisory Services, LLC's principal office is in Charlotte, NC, according to its Form ADV.
Is Linden Thomas Advisory Services, LLC registered with the SEC or a state?
Linden Thomas Advisory Services, LLC is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 288557.
How much does Linden Thomas Advisory Services, LLC manage?
Linden Thomas Advisory Services, LLC reports $1,771,455,363 in regulatory assets under management in its Form ADV filing dated May 27, 2026 (63% discretionary).
How have Linden Thomas Advisory Services, LLC's assets and staff changed since 2021?
In the Form ADV data for Linden Thomas Advisory Services, LLC: Regulatory assets under management: $991,832,284 in the October 2021 data and $1,771,455,363 in the October 2026 data, up 79%. Total employees: 7 in October 2021 and 14 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Linden Thomas Advisory Services, LLC serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (836); high net worth individuals (432); pension and profit sharing plans (but not the plan participants or government pension plans) (88).
Which custodians does Linden Thomas Advisory Services, LLC use?
Linden Thomas Advisory Services, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Wells Fargo Clearing Services, LLC as custodians holding 10% or more of its separately managed account assets.
Does Linden Thomas Advisory Services, LLC report any disciplinary disclosures?
Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 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/288557
What changed in Linden Thomas Advisory Services, LLC's recent Form ADV filings?
In the June 2026 filing data: Registered or notice-filed in AZ, CO, KY, MA, PA.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: 0.2% to 1.6% a year (a range, as the brochure states it)
The brochure's wording
Fees charged range from 0.20% to 1.6% annually, with a portion of the fee retained by LTAS and a portion paid to the applicable outside third-party money manager.
As stated in the firm's Form ADV Part 2A brochure dated April 2, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$1,771,455,363 as of October 2026, filing dated May 27, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
Registration and firm details
Items 1, 2, 5- Also doing business as
- LINDEN THOMAS AND COMPANY
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2017 (9 years)
- Employees
- Total: 14. Performing investment advisory functions: 8.
- Wrap fee program participation
- Yes.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
18 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 113 Reports 3 disclosure items on Form ADV Item 11. View on IAPD.
Questions answered yes on this filing
Regulatory matters Items 11.C to 11.G
- 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(4) Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 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. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $1,771,455,363 | 14 | May 27, 2026 |
| October 2025 | $1,633,842,616 | 11 | March 28, 2025 |
| October 2024 | $1,369,636,810 | 11 | July 10, 2024 |
| October 2023 | $1,139,212,272 | 11 | March 31, 2023 |
| October 2022 | $1,324,538,116 | 9 | March 25, 2022 |
| October 2021 | $991,832,284 | 7 | July 7, 2021 |
Regulatory assets under management: $991,832,284 in the October 2021 data and $1,771,455,363 in the October 2026 data, up 79%.
Total employees: 7 in October 2021 and 14 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- June 2026
- Registered or notice-filed in AZ, CO, KY, MA, PA.
- May 2026
- Employees performing advisory functions went from 4 to 8.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Linden Thomas Advisory Services, LLC (CRD 288557): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/linden-thomas-advisory-services-llc-charlotte-nc-288557