CHARLES SCHWAB INVESTMENT ADVISORY, INC.

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Charles Schwab Investment Advisory is based out of San Francisco. Charles Schwab Investment Advisory is a large advisory firm with 403292 clients and discretionary assets under management (AUM) of $70,583,747,656 (Form ADV from 2018-10-01). Their last reported 13F filing for Q2 2019 included $62,782,203,000 in managed 13F securities and a top 10 holdings concentration of 37.23%. Charles Schwab Investment Advisory's largest holding is Schwab Fundamental U.S. Large Company Index ETF with shares held of 95,968,419. Charles Schwab Investment Advisory has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 53 13F filings

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $62.782 Billion
  • Prior Market Value $59.246 Billion
  • New Purchases11 stocks
  • Additional Purchases92 stocks
  • Sold out of4 stocks
  • Reduced holdings in74 stocks
  • Top 10 Holdings % 37.23 %
  • Turnover % [1]:8.47%
  • Turnover Alt % [2]: 6.83 %
  • Time Held Top20:14.90 quarters
  • Time Held Top10:15.20 quarters
  • Time Held All:8.08 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -0.65%
Performance Last 4 Quarters: -0.97%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR/A (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR/A (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR/A (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR/A (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR/A (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR/A (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR/A (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR/A (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR/A (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR/A (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR/A (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR/A (Subscription required)
  • 2015-12-31 - 13F-HR/A (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR/A (Subscription required)
  • 2015-09-30 - 13F-HR/A (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR/A (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR/A (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR/A (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CHARLES SCHWAB INVESTMENT ADVISORY, INC
211 MAIN STREET SF211MN-08-150
SAN FRANCISCO CA    94105
Country: United States

Business Phone: 415-667-1910
Fax: 415-667-1430
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: CA
Number of employees: 113
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 322,983,000
Total Number of Clients: 403292
Amount of client funds and securities by related persons: 68,694,700,000
Total Number of clients from related persons: 402123
Disclosures:
Data above was derived from SEC filings.

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CHARLES SCHWAB INVESTMENT ADVISORY, INC.

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
GILLESPIE, MICHAEL, EDWARD CHIEF COMPLIANCE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2015-02-01
THOMASPARTNERS, INC. VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2015-02-01
CHARLES SCHWAB INVESTMENT ADVISORY, INC. CHIEF COMPLIANCE OFFICER direct 2012-03-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2012-03-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2012-03-01
DUFFY, ALYSSA CHIEF LEGAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. DIRECTOR - LEGAL COUNSEL direct 2013-07-01
THOMASPARTNERS, INC. CHIEF LEGAL OFFICER direct 2013-07-01
UPROMISE INVESTMENT ADVISORS, LLC GENERAL COUNSEL direct 2010-04-01
UPROMISE INVESTMENT ADVISORS, LLC ASSOCIATE GENERAL COUNSEL/SENIOR VICE-PRESIDENT direct 2010-04-01
UPROMISE INVESTMENT ADVISORS, LLC GENERAL COUNSEL/SENIOR VICE-PRESIDENT/SECRETARY direct 2010-04-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. CHIEF LEGAL COUNSEL direct 2013-07-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. DIRECTOR - LEGAL COUNSEL direct 2013-07-01
OLSON, BRYAN, LARRY CHIEF OPERATIONS OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. PRESIDENT direct 2012-12-01
THOMASPARTNERS, INC. SENIOR VICE PRESIDENT AND DIRECTOR direct 2012-12-01
HYDROGEN INVESTMENT MANAGEMENT, INC. PRESIDENT direct 2010-08-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. PRESIDENT AND CEO direct 2010-08-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. SENIOR VICE PRESIDENT AND DIRECTOR direct 2010-08-01
WURSTER, RICHARD, A CHIEF EXECUTIVE OFFICER, DIRECTOR 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. CHIEF EXECUTIVE OFFICER direct 2016-07-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER direct 2016-07-01
BATES, MARLENE, MARIE-LAURE CHIEF FINANCIAL OFFICER, DIRECTOR 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. CHIEF FINANCIAL OFFICER direct 2015-12-01
THOMASPARTNERS, INC. CHIEF FINANCIAL OFFICER AND DIRECTOR direct 2015-12-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2015-12-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. CHIEF FINANCIAL OFFICER AND DIRECTOR direct 2015-12-01
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. CHIEF FINANCIAL OFFICER direct 2015-12-01
SCHWAB WEALTH INVESTMENT ADVISORY, INC. CHIEF FINANCIAL OFFICER direct 2015-12-01
QUINN, WILLIAM, F TREASURER, DIRECTOR 07/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. SENIOR VICE PRESIDENT AND TREASURER direct 2012-12-01
THOMASPARTNERS, INC. TREASURER AND DIRECTOR direct 2012-12-01
HYDROGEN INVESTMENT MANAGEMENT, INC. SVP AND TREASURER direct 2010-08-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. TREASURER AND DIRECTOR direct 2010-08-01
SCHWAB HOLDINGS, INC. 100% OWNER 03/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WINDHAVEN INVESTMENT MANAGEMENT, INC. 100% OWNER direct 2010-08-01
HYDROGEN INVESTMENT MANAGEMENT, INC. 100% OWNER direct 1983-01-01 2010-10-26
CHARLES SCHWAB & CO., INC. 100% OWNER direct 1983-01-01 2014-03-28

CHARLES SCHWAB INVESTMENT ADVISORY, INC.

ownership team - last updated 2018-11-29
Name Title Start Date Direct/Indirect % Ownership
GILLESPIE, MICHAEL, EDWARD CHIEF COMPLIANCE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2015-02-01
THOMASPARTNERS, INC. VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2015-02-01
CHARLES SCHWAB INVESTMENT ADVISORY, INC. CHIEF COMPLIANCE OFFICER direct 2012-03-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2012-03-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2012-03-01
DUFFY, ALYSSA CHIEF LEGAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. DIRECTOR - LEGAL COUNSEL direct 2013-07-01
THOMASPARTNERS, INC. CHIEF LEGAL OFFICER direct 2013-07-01
UPROMISE INVESTMENT ADVISORS, LLC GENERAL COUNSEL direct 2010-04-01
UPROMISE INVESTMENT ADVISORS, LLC ASSOCIATE GENERAL COUNSEL/SENIOR VICE-PRESIDENT direct 2010-04-01
UPROMISE INVESTMENT ADVISORS, LLC GENERAL COUNSEL/SENIOR VICE-PRESIDENT/SECRETARY direct 2010-04-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. CHIEF LEGAL COUNSEL direct 2013-07-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. DIRECTOR - LEGAL COUNSEL direct 2013-07-01
OLSON, BRYAN, LARRY CHIEF OPERATIONS OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. PRESIDENT direct 2012-12-01
THOMASPARTNERS, INC. SENIOR VICE PRESIDENT AND DIRECTOR direct 2012-12-01
HYDROGEN INVESTMENT MANAGEMENT, INC. PRESIDENT direct 2010-08-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. PRESIDENT AND CEO direct 2010-08-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. SENIOR VICE PRESIDENT AND DIRECTOR direct 2010-08-01
WURSTER, RICHARD, A CHIEF EXECUTIVE OFFICER, DIRECTOR 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. CHIEF EXECUTIVE OFFICER direct 2016-07-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER direct 2016-07-01
BATES, MARLENE, MARIE-LAURE CHIEF FINANCIAL OFFICER, DIRECTOR 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. CHIEF FINANCIAL OFFICER direct 2015-12-01
THOMASPARTNERS, INC. CHIEF FINANCIAL OFFICER AND DIRECTOR direct 2015-12-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2015-12-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. CHIEF FINANCIAL OFFICER AND DIRECTOR direct 2015-12-01
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. CHIEF FINANCIAL OFFICER direct 2015-12-01
SCHWAB WEALTH INVESTMENT ADVISORY, INC. CHIEF FINANCIAL OFFICER direct 2015-12-01
QUINN, WILLIAM, F TREASURER, DIRECTOR 07/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. SENIOR VICE PRESIDENT AND TREASURER direct 2012-12-01
THOMASPARTNERS, INC. TREASURER AND DIRECTOR direct 2012-12-01
HYDROGEN INVESTMENT MANAGEMENT, INC. SVP AND TREASURER direct 2010-08-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. TREASURER AND DIRECTOR direct 2010-08-01
SCHWAB HOLDINGS, INC. 100% OWNER 03/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WINDHAVEN INVESTMENT MANAGEMENT, INC. 100% OWNER direct 2010-08-01
HYDROGEN INVESTMENT MANAGEMENT, INC. 100% OWNER direct 1983-01-01 2010-10-26
CHARLES SCHWAB & CO., INC. 100% OWNER direct 1983-01-01 2014-03-28

CHARLES SCHWAB INVESTMENT ADVISORY, INC.

ownership team - last updated 2017-10-02
Name Title Start Date Direct/Indirect % Ownership
THE CHARLES SCHWAB CORPORATION 100 % OWNER 01/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. SHAREHOLDER indirect 1987-03-01
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. SHAREHOLDER indirect 1987-03-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 1987-03-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC 100% OWNER OF REGISTRANT direct 1989-10-01
U.S. TRUST COMPANY OF FLORIDA SAVINGS BANK PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01
U.S. TRUST COMPANY PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01
RESOURCE CAPITAL ADVISERS INC PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01
401(K) INVESTMENT ADVISORS, INC. PARENT indirect 2007-03-01
CHARLES SCHWAB INVESTMENT ADVISORY, INC. 100 % OWNER direct 2010-01-01
BROKERSXPRESS LLC HOLDING COMPANY ACQUIRED OUR HOLDING COMPANY indirect 2011-09-01
THOMASPARTNERS, INC. 100% OWNER direct 2012-12-01
SCHWAB WEALTH INVESTMENT ADVISORY, INC. SHAREHOLDER indirect 2014-11-01
CTC CONSULTING, INC. INDIRECT SHAREHOLDER indirect 2000-05-01 2001-02-23
U.S. TRUST COMPANY OF FLORIDA SAVINGS BANK PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-10
UNITED STATES TRUST COMPANY OF NEW YORK PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-11
U.S TRUST COMPANY, NATIONAL ASSOCIATION PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-11
U.S. TRUST COMPANY PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-11
CTC CONSULTING, INC. DIRECT SHAREHOLDER OF U.S. TRUST CORPORATION indirect 2000-05-01 2001-07-26
NCT OPPORTUNITIES INC SHAREHOLDER indirect 2000-06-01 2002-04-01
PERSIMMON RESEARCH PARTNERS INC CONVERTIBLE NOTE HOLDER direct 2001-10-01 2002-08-27
U.S TRUST COMPANY, NATIONAL ASSOCIATION PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01 2007-05-10
UNITED STATES TRUST COMPANY OF NEW YORK PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01 2007-05-10
CTC CONSULTING, INC. PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01 2007-05-10
NCT OPPORTUNITIES INC PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-06-01 2007-05-10
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. 100% OWNER direct 2012-01-01 2013-03-28
SCHWAB WEALTH INVESTMENT ADVISORY, INC. SHAREHOLDER indirect 1987-03-01 2015-02-20
MARTINETTO, JOSEPH, RAYMOND CFO 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. EVP- CHIEF FINANCIAL OFFICER direct 2007-05-01
CHARLES SCHWAB & CO., INC. EVP- FINANCE & RISK MANAGEMENT direct 2007-05-01
CHARLES SCHWAB & CO., INC. SENIOR EXECUTIVE VICE PRESIDENT direct 2017-05-01
CHARLES SCHWAB INVESTMENT ADVISORY, INC. CFO direct 2010-01-01
HAUER, ROSEANNE, C CHIEF COMPLIANCE OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT ADVISORY, INC. CHIEF COMPLIANCE OFFICER, INTERIM direct 2015-02-01
CHARLES SCHWAB INVESTMENT ADVISORY, INC. CHIEF COMPLIANCE OFFICER direct 2015-02-01
PETERSON, JAMES, DANIEL PRESIDENT 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT ADVISORY, INC. PRESIDENT direct 2017-09-01

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