# LINDEN THOMAS ADVISORY SERVICES, LLC

LINDEN THOMAS ADVISORY SERVICES, LLC of CHARLOTTE, NC is an SEC-registered investment adviser.

## Registration

- CRD: 288557
- Type: SEC-registered investment adviser
- SEC file number: 801-110683
- Location: 516 NORTH TRYON STREET, CHARLOTTE, NC, 28202
- Phone: (704) 554-8150
- Latest filing: 2026-05-27
- Regulatory AUM: $1.8B
- Discretionary AUM: $1.1B
- Non-discretionary AUM: $653.7M
- Clients: 14
- Accounts: 7,111

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions

## Officers, owners & control persons (7)

| Name | Role | Location |
| --- | --- | --- |
| Patti Sue Almanza | CHIEF COMPLIANCE OFFICER | — |
| Stephen Linden Thomas | MANAGER; MEMBER | — |
| David Leon Smith | CHIEF COMPLIANCE OFFICER | — |
| HUNT DAVID LEE | CHIEF COMPLIANCE OFFICER | — |
| ROBERTS DANIEL ANTHONY | CHIEF COMPLIANCE OFFICER | — |
| THOMAS STEPHEN LINDEN | MANAGER; MANAGER, CHIEF COMPLIANCE OFFICER; MANAGING MEMBER, CHIEF COMPLIANCE OFFICER (+1 more) | — |
| BERGMANN OLIVER ANDREAS | CHIEF COMPLIANCE OFFICER | — |


## Disclosures (5)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2023-09-11 | regulatory | THE SEC ALLEGED THAT LTAS DID NOT HAVE POLICIES AND PROCEDURES REASONABLY DESIGNED TO ENSURE PERFORMANCE WAS RELEVANT TO THE INTENDED AUDIENCE WHEN DISSEMINATING ADVERTISEMENTS USING HYPOTHETICAL PERFORMANCE, IN VIOLATION OF THE APPLICABLE MARKETING RULE. | Final | $135K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/288557/brochure
- Similar advisers: https://search.stillhousedata.com/firm/288557/similar
- Related entities: https://search.stillhousedata.com/firm/288557/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/288557

---

Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.