CHARLES SCHWAB INVESTMENT ADVISORY, INC.
Legal name: CHARLES SCHWAB INVESTMENT ADVISORY, INC
CRD #151739 SEC #801-70737 SAN FRANCISCO, CA 415-667-1910
SEC Registered Disclosures
Total AUM
$66.1B
Discretionary
$66.1B
Employees
26
Clients
0
Accounts
495,347
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 1, 2023
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| AGUILAR CHAVEZ, OMAR | I | CHIEF EXECUTIVE OFFICER, DIRECTOR, PRESIDENT | NA | Control |
| AGUILAR CHAVEZ, OMAR | I | CHIEF EXECUTIVE OFFICER, DIRECTOR, PRESIDENT | NA | Control |
| AGUILAR CHAVEZ, OMAR | I | CHIEF EXECUTIVE OFFICER, DIRECTOR, PRESIDENT | NA | Control |
| AGUILAR CHAVEZ, OMAR | I | CHIEF EXECUTIVE OFFICER, DIRECTOR, PRESIDENT | NA | Control |
| AGUILAR CHAVEZ, OMAR | I | CHIEF EXECUTIVE OFFICER, DIRECTOR, PRESIDENT | NA | Control |
| ANGUS, TED, FYKE | I | VP & CHIEF LEGAL COUNSEL | NA | |
| BATES, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| BATES, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| BATES, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| BATES, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| BATES, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| BATES, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| COOK, SCOTT, ANDREW | I | CHIEF COMPLIANCE OFFICER & SVP | NA | |
| COOK, SCOTT, ANDREW | I | CHIEF COMPLIANCE OFFICER & SVP | NA | |
| COOK, SCOTT, ANDREW | I | CHIEF COMPLIANCE OFFICER & SVP | NA | |
| DE ST PAER, JONATHAN, CHRISTIAN | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| DE ST PAER, JONATHAN, CHRISTIAN | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| DOLAN, CARRIE, LOUISE | I | CFO | NA | |
| DUFFY, ALYSSA | I | CHIEF LEGAL OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF LEGAL OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF LEGAL OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF LEGAL OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF LEGAL OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF LEGAL OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF LEGAL OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF LEGAL OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF LEGAL OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF LEGAL OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF LEGAL OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF LEGAL OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUFFY, ALYSSA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DUFFY, ALYSSA | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUFFY, ALYSSA | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUFFY, ALYSSA | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HAUER, ROSEANNE, C | I | CHIEF COMPLIANCE OFFICER, INTERIM | NA | |
| HAUER, ROSEANNE, C | I | CHIEF COMPLIANCE OFFICER | NA | |
| HAUER, ROSEANNE, C | I | CHIEF COMPLIANCE OFFICER | NA | |
| HAUER, ROSEANNE, C | I | CHIEF COMPLIANCE OFFICER | NA | |
| HAUER, ROSEANNE, C | I | CHIEF COMPLIANCE OFFICER | NA | |
| HAUER, ROSEANNE, C | I | CHIEF COMPLIANCE OFFICER | NA | |
| HAUER, ROSEANNE, C | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOGAN, MICHAEL, FREDERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| MARTINETTO, JOSEPH, RAYMOND | I | CFO | NA | |
| Niedermeier, Stacy, A | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| Niedermeier, Stacy, A | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| Niedermeier, Stacy, A | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| Niedermeier, Stacy, A | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| OLSON, BRYAN, LARRY | I | CHIEF OPERATIONS OFFICER | NA | Control |
| OLSON, BRYAN, LARRY | I | CHIEF OPERATIONS OFFICER | NA | Control |
| OLSON, BRYAN, LARRY | I | CHIEF OPERATIONS OFFICER | NA | Control |
| OLSON, BRYAN, LARRY | I | CHIEF OPERATIONS OFFICER | NA | Control |
| OLSON, BRYAN, LARRY | I | CHIEF OPERATIONS OFFICER | NA | Control |
| OLSON, BRYAN, LARRY | I | CHIEF OPERATIONS OFFICER | NA | Control |
| OLSON, BRYAN, LARRY | I | CHIEF OPERATIONS OFFICER | NA | Control |
| OLSON, BRYAN, LARRY | I | CHIEF OPERATIONS OFFICER | NA | Control |
| OLSON, BRYAN, LARRY | I | CHIEF OPERATIONS OFFICER | NA | Control |
| PELAGE, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| PELAGE, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| PELAGE, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| PETERSON, JAMES, DANIEL | I | PRESIDENT | NA | |
| PETERSON, JAMES, DANIEL | I | PRESIDENT | NA | |
| PETERSON, JAMES, DANIEL | I | PRESIDENT | NA | |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| QUINN, WILLIAM, F | I | TREASURER, DIRECTOR | NA | Control |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| RIEPE, MARK, WILLIAM | I | PRESIDENT | NA | |
| WANEBO, JAMES, BRENDON | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| WANEBO, JAMES, BRENDON | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| WANEBO, JAMES, BRENDON | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| WANEBO, JAMES, BRENDON | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| WANEBO, JAMES, BRENDON | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| WANEBO, JAMES, BRENDON | I | CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| WURSTER, RICHARD, A | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| WURSTER, RICHARD, A | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| WURSTER, RICHARD, A | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| WURSTER, RICHARD, A | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| WURSTER, RICHARD, A | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| WURSTER, RICHARD, A | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| WURSTER, RICHARD, A | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| WURSTER, RICHARD, A | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| WURSTER, RICHARD, A | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| Wurster, Richard, A | I | CHIEF EXECUTIVE OFFICER, DIRECTOR, PRESIDENT | NA | Control |
| Wurster, Richard, A | I | CHIEF EXECUTIVE OFFICER, DIRECTOR, PRESIDENT | NA | Control |
| Wurster, Richard, A | I | CHIEF EXECUTIVE OFFICER, DIRECTOR, PRESIDENT | NA | Control |
| Wurster, Richard, A | I | CHIEF EXECUTIVE OFFICER, DIRECTOR, PRESIDENT | NA | Control |
| Wurster, Richard, A | I | CHIEF EXECUTIVE OFFICER, DIRECTOR, PRESIDENT | NA | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | 100 % OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| THE CHARLES SCHWAB CORPORATION | DE | SCHWAB HOLDINGS, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | SCHWAB HOLDINGS, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | SCHWAB HOLDINGS, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | SCHWAB HOLDINGS, INC. | E | Control |
Registrations
Federal
IA
Dec 1, 2023 REGISTERED
Notice Filings (52)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VI VT WA WI WV
Address
211 MAIN STREETSF211MN-08-150
SAN FRANCISCO, CA 94105
United States
Phone: 415-667-1910