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CHARLES SCHWAB INVESTMENT MANAGEMENT, INC
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC (CRD# 106753) is an SEC-Registered Investment Advisor (RIA), headquartered in San Francisco, CA. The SEC approved the firm to operate as an RIA in Jan 1990. In Mar 2019, the firm reported total Regulatory Assets Under Management (RAUM) of $379.3 Billion, with discretion over 94% of those assets.   Pooled investment vehicles (Private Funds) account for 6% of RAUM.   Non-US investors represent 1% .  
 
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC also reported in Mar 2019
  • 492 employees, with 105 performing advisory functions.
  • A total of 5 office locations.
  • Registration with one or more foreign financial regulatory authorities.
  • Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC has one or more disclosure events currently on file with the SEC.
 

View CHARLES SCHWAB INVESTMENT MANAGEMENT, INC's most recent Form ADV filing
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CHARLES SCHWAB INVESTMENT MANAGEMENT, INC has Notice Filings with the following State Securities Authorities: AK-Oct 2003, AL-Oct 2003, AR-Oct 2003, AZ-Oct 2003, CA-Oct 2003 , CO-Oct 2003, CT-Oct 2003, DC-Oct 2003, DE-Nov 2003, FL-Oct 2003 , GA-Oct 2003, HI-Oct 2003, IA-Oct 2003, ID-Oct 2003, IL-Nov 2003 , IN-Oct 2003, KS-Oct 2003, KY-Oct 2003, LA-Oct 2003, MA-Oct 2003 , MD-Oct 2003, ME-Oct 2003, MI-Oct 2003, MN-Oct 2003, MO-Oct 2003 , MS-Oct 2003, MT-Oct 2003, NC-Oct 2003, ND-Oct 2003, NE-Oct 2003 , NH-Oct 2003, NJ-Oct 2003, NM-Oct 2003, NV-Oct 2003, NY-Oct 2003 , OH-Oct 2003, OK-Oct 2003, OR-Oct 2003, PA-Oct 2003, PR-Oct 2003 , RI-Oct 2003, SC-Oct 2003, SD-Oct 2003, TN-Oct 2003, TX-Oct 2003 , UT-Oct 2003, VA-Oct 2003, VI-Mar 2013, VT-Oct 2003, WA-Oct 2003 , WI-Oct 2003, WV-Oct 2003, WY-Mar 2018


Disclaimer: 
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 that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel free to contact FindingFraud.org with questions or concerns.


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