CHARLES SCHWAB INVESTMENT MANAGEMENT, INC
Company Profile
| AUM* | 1,721,025,914,896 57% |
| of that, discretionary | 1,697,040,740,565 58% |
| Number of Employees | 31,636 5% |
| of those in investment advisory functions | 4,302 15% |
| Private Fund GAV* | 0 |
| Avg Account Size | 2,009,143 -43% |
| High Net Worth | 18.03% -4% |
| SMA’s | Yes |
| Private Funds | 0 |
Adviser Type
- Large advisory firm
- An investment adviser (or subadviser) to an investment company
- Related adviser
- An investment adviser (or subadviser) to an investment company
- Related adviser
Client Types
- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Pooled investment vehicles
- Pension and profit sharing plans
- Charitable organizations
- State or municipal government entities
- Insurance companies
- Corporations or other businesses not listed above
Advisory Activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Selection of other advisers
Compensation Arrangments
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
Disclosure Reporting
| 11.A(1) | Convicted of felony (past 10 yrs) |
| 11.A(2) | Charged with felony |
| 11.C(1) | SEC/CFTC found false statement |
| 11.C(2) | SEC/CFTC found violation |
| 11.C(4) | SEC/CFTC order in investment-related activity |
| 11.C(5) | SEC/CFTC civil penalty / cease and desist |
| 11.D(2) | Other regulator found violation |
| 11.D(4) | Other regulator order (past 10 yrs) |
| 11.D(5) | Other regulator denied/suspended/revoked license |
| 11.E(2) | SRO found rule violation |
| 11.G | Currently subject to regulatory proceeding |
| 11.H(1)(a) | Court enjoined (past 10 yrs) |
| 11.H(1)(b) | Court found investment-related violation |
Recent News
Reported AUM
1,697B
1,455B
1,212B
970B
727B
485B
242B
2015
2016
2017
2018
2019
2020
2021
2022
2023
2024
2025
2026
Private Funds
No private funds
Employees
Form ADV-E Surprise Examination Reports
| Accounting Firm Name | Filing Date | Form ADV-E |
|---|---|---|
| Accounting Firm Name DELOITTE & TOUCHE LLP | Filing Date09/11/2026 | Form ADV-E View Report |
| Accounting Firm Name DELOITTE & TOUCHE LLP | Filing Date01/23/2026 | Form ADV-E View Report |
| Accounting Firm Name DELOITTE & TOUCHE, LLP | Filing Date01/23/2026 | Form ADV-E View Report |
| Accounting Firm Name DELOITTE & TOUCHE, LLP | Filing Date02/24/2025 | Form ADV-E View Report |
| Accounting Firm Name DELOITTE & TOUCHE, LLP | Filing Date01/19/2024 | Form ADV-E View Report |
| Accounting Firm Name DELOITTE & TOUCHE LLP | Filing Date01/19/2024 | Form ADV-E View Report |
| Accounting Firm Name DELOITTE & TOUCHE LLP | Filing Date04/17/2023 | Form ADV-E View Report |