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Chief Compliance Officer · Linden Thomas Advisory Services, LLC

David L. Smith

CRD 2246779 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Linden Thomas Advisory Services, LLC, an SEC-registered wealth manager based in Charlotte, NC with $1.8 billion in regulatory assets, lists David L. Smith on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name David at 1 other registered adviser.

Firms and roles

AtlasMembers

David’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
2 firmsLocked
Control-person status
2 firmsLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For David’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.