CHARLES SCHWAB INVESTMENT ADVISORY, INC
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CHARLES SCHWAB INVESTMENT ADVISORY, INC
(CRD# 151739)
is an SEC-Registered Investment Advisor (RIA), headquartered in
San Francisco, CA.
The SEC approved the firm to operate as an RIA in
Nov 2009.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$70.6 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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CHARLES SCHWAB INVESTMENT ADVISORY, INC
also reported in
Mar 2019
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113
employees,
with
67
performing advisory functions.
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A total of 16 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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CHARLES SCHWAB INVESTMENT ADVISORY, INC has no disclosure events reported to the SEC at this time.
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CHARLES SCHWAB INVESTMENT ADVISORY, INC has Notice Filings with the following State Securities Authorities: AK-Feb 2018, AL-Feb 2018, AR-Feb 2018, AZ-Feb 2018, CA-Nov 2009
, CO-Nov 2009, CT-Feb 2018, DC-Feb 2018, DE-Nov 2009, FL-Feb 2018
, GA-Feb 2018, HI-Feb 2018, IA-Feb 2018, ID-Feb 2018, IL-Feb 2018
, IN-Mar 2015, KS-Feb 2018, KY-Feb 2018, LA-Feb 2018, MA-Feb 2018
, MD-Feb 2018, ME-Feb 2018, MI-Feb 2018, MN-Feb 2018, MO-Feb 2018
, MS-Feb 2018, MT-Feb 2018, NC-Feb 2018, ND-Feb 2018, NE-Feb 2018
, NH-Feb 2018, NJ-Mar 2018, NM-Feb 2018, NV-Feb 2018, NY-Feb 2018
, OH-Feb 2018, OK-Feb 2018, OR-Feb 2018, PA-Feb 2018, PR-Feb 2018
, RI-Feb 2018, SC-Feb 2018, SD-Feb 2018, TN-Feb 2018, TX-Feb 2018
, UT-Feb 2018, VA-Feb 2018, VI-Mar 2018, VT-Feb 2018, WA-Feb 2018
, WI-Feb 2018, WV-Feb 2018, WY-Feb 2018
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The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
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SEC. Feel free to contact
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