Linden Thomas Advisory Services, LLC (Charlotte)

Linden Thomas Advisory Services, LLC is a large advisory firm based in Charlotte. It manages $676.45 million of regulatory assets for 4,441 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdictions of California, Florida, Georgia, and 9 other states.

Linden Thomas Advisory Services provides financial planning services, portfolio management for individuals and small businesses, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Linden Thomas Advisory Services: assets under management

The assets under management (AUM) of Linden Thomas Advisory Services, LLC is $676.45 million. The company doesn't manage any assets belonging to foreign clients.

Investments

The firm invests in exchange traded securities the most. They account for 75% of the total AUM. The second-largest asset type is investment and business development companies, which make up 7% of the firm’s portfolio. Investments in non-exchange traded securities form 7% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Linden Thomas Advisory Services, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Linden Thomas Advisory Services serves?

The firm provides services to individuals, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Linden Thomas Advisory Services is individuals with 260 clients and $463.13 million of assets under management. Among the 12 most similar advisory firms, Linden Thomas Advisory Services has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $675.08 million for 380 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Linden Thomas Advisory Services doesn't advise any private funds.

Careers at Linden Thomas Advisory Services, LLC

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Stephen Linden Thomas	Manager, chief compliance officer	1 Apr 2017	Other	1789031
Llc Linden Thomas Financial Group	Member	1 Feb 2018	75% - 100%	82-2726751
Daniel Anthony Roberts	Chief compliance officer	1 Mar 2019	Other	2208120

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Stephen Linden Thomas	Member	1 Aug 2017	75% - 100%	1789031

Based in Charlotte

The principal office where Linden Thomas Advisory Services, LLC performs its advisory services is located at 516 North Tryon Street, Suite 200, Charlotte, NC 28202, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (704) 554-8150 or by fax 704-554-8350. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday.