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RIA / WealthRegistered adviserother adviserSEC registeredRAUM over $100B

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

CRD 106753

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:36efa7cc-78f8-609b-4e40-c9243421e4b8

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 79
Dated events: 31
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2026
41 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.13 fund_share=0.87 institutional_share=0.0 related_bd=true related_bank=true bd_reps=138.0
Regulatory AUM: $1721BItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1697B
Private client RAUM: $215BderivedItem 5.D individuals plus high net worth individuals
Private client share: 13%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 37
RAUM per advisor: $47Bderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 946
Advisory employees: 175
Offices: 167Schedule D 1.F, beyond the principal office
Accounts: 856,597
Individual clients: 697,928
High net worth clients: 154,404
Custody, client assets: $504M
SEC number: 801-35905
CIK: 884546
CRD: 106753
Filings on the tape: 41
First filed: Mar 30, 2012
Latest filed: Mar 30, 2026
Organised: Corporation, DE
Website: thomaspartnersinvestmentmanagement.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 37

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
CHRISTOPHER SHEEHAN	n/a	SAN FRANCISCO, CA \| Richfield, OH	6	20	1	no
BRIAN EDWARD FERRY	Chartered Financial Analyst	Richfield, OH \| SAN FRANCISCO, CA	6	12	1	no
Jeffrey M Yun	n/a	Naples, FL \| SAN FRANCISCO, CA	6	27	2	no
JASON DUANE DIEFENTHALER	n/a	Naples, FL \| SAN FRANCISCO, CA	6	26	1	no
BRIAN M DIXON	Chartered Financial Analyst	Naples, FL \| SAN FRANCISCO, CA	6	16	1	no
Ruta Stiess	Chartered Financial Analyst	Naples, FL \| SAN FRANCISCO, CA	6	11	1	no
JAMIE L PEEK	n/a	Naples, FL \| SAN FRANCISCO, CA	6	10	1	no
DANIEL W GRIFFITH	n/a	SAN FRANCISCO, CA \| Lone Tree, CO	6	10	1	no
MATHEW TODD PETTY	Chartered Financial Analyst	Lone Tree, CO \| SAN FRANCISCO, CA	6	20	3	no
MICHAEL ANTHONY MORIN	n/a	SAN FRANCISCO, CA \| Boston, MA	6	25	3	no
NICOLE EILEEN CALABRESE	n/a	SAN FRANCISCO, CA \| Boston, MA	5	16	4	no
TESS Montague Papazian	n/a	SAN FRANCISCO, CA \| Naples, FL	5	10	2	no
JAMES ALLAN SERHANT	Chartered Financial Analyst	SAN FRANCISCO, CA \| Boston, MA	5	30	1	no
MATTHEW MICHAEL GUGLIEMINI	Chartered Financial Analyst	Boston, MA \| SAN FRANCISCO, CA	5	17	3	no
MATTHEW JOSEPH KUSS	n/a	SAN FRANCISCO, CA \| Montclair, NJ	5	27	n/a	no
KELLY JOHNSON	Chartered Financial Analyst	Marina Del Rey, CA \| SAN FRANCISCO, CA	5	24	5	no
TREVOR P DURHAM	n/a	SAN FRANCISCO, CA \| NAPLES, FL	4	10	2	no
JESSE A RENDA	n/a	Naples, FL \| SAN FRANCISCO, CA	4	10	2	no
WILLIAM PATRICK MCMAHON	Chartered Financial Analyst	Boston, MA \| SAN FRANCISCO, CA	4	27	3	no
VIRAJ DESAI	Chartered Financial Analyst	North Bergen, NJ	3	11	1	no
NICHOLAS J RUBINO	n/a	Jersey City, NJ \| SAN FRANCISCO, CA	3	12	4	no
NICHOLAS E GLENN	n/a	RALEIGH, NC	3	20	2	no
SAM GRIFFIN LASHIN	n/a	Huntersville, NC	3	10	4	no
James Earl Staten	Certified Financial Planner	Atlanta, GA	3	16	4	no
CONNOR LEE JACOBS	Chartered Financial Analyst	Lone Tree, CO	3	10	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AGUILAR CHAVEZ, OMAR	DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHIEF INVESTMENT OFFICER	Na	yes	10/2024	Mar 30, 2012	Dec 20, 2024
CASSIDY, PATRICK, S	CHIEF INVESTMENT OFFICER	Na	yes	11/2023	Nov 2, 2023	Dec 20, 2024
MCMAHON, WILLIAM, PATRICK	CHIEF INVESTMENT OFFICER	Na	yes	01/2020	Mar 27, 2020	Dec 20, 2024
SEIDLITZ, JESSICA, ANN	CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER	Na	yes	09/2024	Nov 2, 2023	Dec 20, 2024
THE CHARLES SCHWAB CORPORATION	100% OWNER OF REGISTRANT	E	yes	10/1989	Mar 30, 2012	Dec 20, 2024
Verdeschi, Michael, Daniel	Director	Na	yes	10/2024	Oct 4, 2024	Dec 20, 2024
Wurster, Richard, A	Director	Na	yes	10/2021	Nov 1, 2019	Dec 20, 2024
HUNTER, MARK	CHIEF COMPLIANCE OFFICER	Na	no	12/2024	Dec 20, 2024	Dec 20, 2024
MACGREGOR, CATHERINE, MARGARET	CHIEF LEGAL OFFICER	Na	no	03/2022	Mar 30, 2022	Dec 20, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SCHWAB WEALTH ADVISORY, INC.	n/a	No RAUM reported	$0	N	yes	n/a
CHARLES SCHWAB & CO., INC.	n/a	National bd RIA	n/a	N	yes	CA
CHARLES SCHWAB BANK	n/a	n/a	n/a	N	yes	n/a
CHARLES SCHWAB PREMIER BANK	n/a	n/a	n/a	N	yes	n/a
CHARLES SCHWAB TRUST BANK	n/a	n/a	n/a	N	yes	n/a
CHARLES SCHWAB TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
TD AMERITRADE CLEARING, INC.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
LONE TREE	Co	United States	136	yes
Naples	FL	United States	26	no
Boston	Ma	United States	20	yes
Chicago	IL	United States	13	yes
Westlake	TX	United States	9	yes
JERSEY CITY	Nj	United States	3	yes
Cleveland	Oh	United States	3	no
Raleigh	Nc	United States	1	no
Richfield	Oh	United States	1	yes
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$1721B	$1697B	946	175	167	n/a	n/a
2024	Mar 27, 2025	$1437B	$1415B	877	173	104	n/a	n/a
2023	Mar 29, 2024	$1099B	$1076B	857	186	107	n/a	n/a
2022	Mar 30, 2023	$783B	$758B	1,007	212	158	n/a	n/a
2021	Mar 30, 2022	$701B	$670B	886	184	56	n/a	n/a
2020	Mar 30, 2021	$610B	$581B	782	174	18	n/a	n/a
2019	Mar 27, 2020	$506B	$480B	538	110	4	n/a	n/a
2018	Mar 29, 2019	$379B	$358B	492	105	4	n/a	n/a
2017	Mar 30, 2018	$361B	$345B	423	94	2	n/a	n/a
2016	Mar 30, 2017	$302B	$290B	360	87	n/a	n/a	n/a
2015	Mar 30, 2016	$280B	$268B	314	76	n/a	n/a	n/a
2014	Mar 30, 2015	$267B	$257B	204	63	n/a	n/a	n/a
2013	Mar 28, 2014	$248B	$239B	200	69	n/a	n/a	n/a
2012	Mar 28, 2013	$224B	$218B	200	69	n/a	n/a	n/a
2011	Mar 30, 2012	$215B	$202B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	3	5

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1721B	$1437B	19.8%	$783B	30.0%	946	877	167	104

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	2	Sep 7, 2023	Dec 12, 2022	JERSEY CITY, NJ	Channel change	Other	0.3%
CHARLES SCHWAB & CO., INC.	2	Dec 22, 2022	Jan 3, 2023	AUSTIN, TX	Channel change	Other	0.0%
CHARLES SCHWAB INVESTMENT ADVISORY, INC	2	Jul 7, 2022	Jul 6, 2022	SAN FRANCISCO, CA	Channel change	Other	40.0%
CHARLES SCHWAB INVESTMENT ADVISORY, INC	2	Mar 8, 2022	Mar 21, 2022	SAN FRANCISCO, CA	Channel change	Other	11.8%
CHARLES SCHWAB INVESTMENT ADVISORY, INC	4	Oct 20, 2020	Oct 28, 2020	SAN FRANCISCO, CA	Channel change	Other	11.8%
CHARLES SCHWAB INVESTMENT ADVISORY, INC	2	Sep 28, 2020	Sep 22, 2020	SAN FRANCISCO, CA	Channel change	Other	5.4%
CHARLES SCHWAB INVESTMENT ADVISORY, INC	2	Aug 28, 2020	Sep 9, 2020	SAN FRANCISCO, CA	Channel change	Other	5.1%
WASMER SCHROEDER	9	Jul 2, 2020	Aug 13, 2020	NAPLES, FL	Firm absorbed	Other	60.0%

Relationships

Affiliated with (11)

← SCHWAB WEALTH ADVISORY, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
← CHARLES SCHWAB & CO., INC.Registered adviserother investment adviser, bank, common control
factForm ADV
→ SCHWAB WEALTH ADVISORY, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserother investment adviser, broker-dealer, custodian, common control
factForm ADV
← CHARLES SCHWAB INVESTMENT ADVISORY, INCRegistered adviserother investment adviser, bank, common control
factForm ADV
← TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← TD AMERITRADE, INC.Registered adviserother investment adviser, common control
factForm ADV
← THOMASPARTNERS, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
← WINDHAVEN INVESTMENT MANAGEMENT, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
← SCHWAB WEALTH INVESTMENT ADVISORY, INC.Registered adviserother investment adviser, common control
factForm ADV
← BROKERSXPRESS LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (50)

← MATTHEW RICHARD SCHOOLEYAdvisorregistration: current employment
Jun 4, 2026 to presentfactForm ADV
← MICHAL RYSZARD BARTKIEWICZAdvisorregistration: current employment
Jun 3, 2026 to presentfactForm ADV
← Cindy LopezAdvisorregistration: current employment
May 27, 2026 to presentfactForm ADV
← Adam GermaineAdvisorregistration: current employment
Oct 22, 2025 to presentfactForm ADV
← MAXIMILLIAN BREIERAdvisorregistration: current employment
Sep 23, 2025 to presentfactForm ADV
← Wendy Ambrosius GrallAdvisorregistration: current employment
Sep 11, 2025 to presentfactForm ADV
← Kevin A BoormanAdvisorregistration: current employment
May 30, 2025 to presentfactForm ADV
← SARJOO NARENDRA PATELAdvisorregistration: current employment
Jan 28, 2025 to presentfactForm ADV
← JOHN ANTHONY HAYEKAdvisorregistration: current employment
Sep 6, 2024 to presentfactForm ADV
← Elvis Zhisney ZunigaAdvisorregistration: current employment
Jun 20, 2024 to presentfactForm ADV
← RUSSELL PAUL OWAdvisorregistration: current employment
Mar 21, 2024 to presentfactForm ADV
← TAMU ELAINE DAWSONAdvisorregistration: current employment
Dec 21, 2023 to presentfactForm ADV
← CONNOR LEE JACOBSAdvisorregistration: current employment
Jun 1, 2023 to presentfactForm ADV
← James Earl StatenAdvisorregistration: current employment
Mar 10, 2023 to presentfactForm ADV
← NICHOLAS E GLENNAdvisorregistration: current employment
Jan 3, 2023 to presentfactForm ADV
← SAM GRIFFIN LASHINAdvisorregistration: previous registration
Sep 17, 2021 to Feb 11, 2022factForm ADV
← VIRAJ DESAIAdvisorregistration: current employment
Dec 12, 2022 to presentfactForm ADV
← NICHOLAS J RUBINOAdvisorregistration: current employment
Dec 12, 2022 to presentfactForm ADV
← WILLIAM PATRICK MCMAHONAdvisorregistration: current employment
Jul 6, 2022 to presentfactForm ADV
← JESSE A RENDAAdvisorregistration: current employment
May 11, 2022 to presentfactForm ADV
← TREVOR P DURHAMAdvisorregistration: current employment
Apr 6, 2022 to presentfactForm ADV
← KELLY JOHNSONAdvisorregistration: current employment
Jan 15, 2021 to presentfactForm ADV
← MATTHEW JOSEPH KUSSAdvisorregistration: current employment
Nov 13, 2020 to presentfactForm ADV
← MATTHEW MICHAEL GUGLIEMINIAdvisorregistration: current employment
Oct 28, 2020 to presentfactForm ADV
← JAMES ALLAN SERHANTAdvisorregistration: current employment
Oct 13, 2020 to presentfactForm ADV
← NICOLE EILEEN CALABRESEAdvisorregistration: current employment
Sep 22, 2020 to presentfactForm ADV
← TESS Montague PapazianAdvisorregistration: current employment
Sep 22, 2020 to presentfactForm ADV
← MICHAEL ANTHONY MORINAdvisorregistration: current employment
Sep 15, 2020 to presentfactForm ADV
← MATHEW TODD PETTYAdvisorregistration: current employment
Sep 1, 2020 to presentfactForm ADV
← DANIEL W GRIFFITHAdvisorregistration: current employment
Jul 13, 2020 to presentfactForm ADV
and 20 more

Controls (7)

← MCMAHON, WILLIAM, PATRICKOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 27, 2020 to Dec 20, 2024factForm ADV
← Verdeschi, Michael, DanielOwnerDIRECTOR, ownership code NA, individual
Oct 4, 2024 to Dec 20, 2024factForm ADV
← AGUILAR CHAVEZ, OMAROwnerDIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 30, 2012 to Dec 20, 2024factForm ADV
← SEIDLITZ, JESSICA, ANNOwnerCHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER, ownership code NA, individual
Nov 2, 2023 to Dec 20, 2024factForm ADV
← CASSIDY, PATRICK, SOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Nov 2, 2023 to Dec 20, 2024factForm ADV
← Wurster, Richard, AOwnerDIRECTOR, ownership code NA, individual
Nov 1, 2019 to Dec 20, 2024factForm ADV
← THE CHARLES SCHWAB CORPORATIONOwner100% OWNER OF REGISTRANT, ownership code E, domestic entity
Mar 30, 2012 to Dec 20, 2024factForm ADV

Owns (2)

← HUNTER, MARKOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 20, 2024 to Dec 20, 2024factForm ADV
← MACGREGOR, CATHERINE, MARGARETOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Mar 30, 2022 to Dec 20, 2024factForm ADV

Moved with (4)

← CHARLES SCHWAB & CO., INC.Registered adviser2 advisors, team lift out
Dec 22, 2022 to Jan 3, 2023factForm ADV
← TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Sep 7, 2023 to Dec 12, 2022factForm ADV
← CHARLES SCHWAB INVESTMENT ADVISORY, INCRegistered adviser2 advisors, team lift out, same day
Jul 7, 2022 to Jul 6, 2022factForm ADV
← WASMER SCHROEDERRegistered adviser9 advisors, firm absorbed, same day
Jul 2, 2020 to Aug 13, 2020factForm ADV

Dated events

7 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 27, 2025
Regulatory AUM changed
Charles Schwab Investment Management, Inc reported RAUM $1.4T, up 31% from $1.1T (2024-12-20 to 2025-03-27)
Form ADVobserved 4 days ago
$338.2B
Occurred
Dec 2, 2024
Advisor changed firm
Landon Wriedt left Charles Schwab Investment Management, Inc for Voya Financial Advisors, Inc. (registered 2026-01-23)
Form ADVobserved 4 days ago
Occurred
Oct 4, 2024
Control person left
Brooks Peter Crawford (Director) no longer on Schedule A of Charles Schwab Investment Management, Inc (listed 2024-09-24, absent 2024-10-04)
Form ADVobserved 4 days ago
Occurred
Oct 4, 2024
Control person left
Dickhut Mark Fischer (Chief Financial Officer And Chief Operating Officer) no longer on Schedule A of Charles Schwab Investment Management, Inc (listed 2024-09-24, absent 2024-10-04)
Form ADVobserved 4 days ago
Occurred
Oct 4, 2024
Control person joined
Daniel Michael Verdeschi (Director) appeared on Schedule A of Charles Schwab Investment Management, Inc
Form ADVobserved 4 days ago
Occurred
Apr 25, 2024
Advisor changed firm
David Alexander Poole left Charles Schwab Investment Management, Inc for Verity Investment Partners (registered 2024-09-26)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2024
Regulatory AUM changed
Charles Schwab Investment Management, Inc reported RAUM $1.1T, up 40% from $782.6B (2023-11-02 to 2024-03-29)
Form ADVobserved 4 days ago
$316.2B
Occurred
Feb 6, 2024
Advisor changed firm
Connor Francis Murphy left Charles Schwab Investment Management, Inc for Cachetech (registered 2024-03-26)
Form ADVobserved 4 days ago
Occurred
Jan 16, 2024
Advisor changed firm
Cory M Shapira left Charles Schwab Investment Management, Inc for Osaic Institutions, Inc. (registered 2024-07-03)
Form ADVobserved 4 days ago
Occurred
Jan 9, 2024
Advisor changed firm
Rayvon Solomon left Charles Schwab Investment Management, Inc for Ameriprise Financial Services, Llc (registered 2024-04-22)
Form ADVobserved 4 days ago
Occurred
Nov 2, 2023
Control person joined
S Patrick Cassidy (Chief Investment Officer) appeared on Schedule A of Charles Schwab Investment Management, Inc
Form ADVobserved 4 days ago
Occurred
Nov 2, 2023
Control person left
Harlan Brett Wander (Chief Investment Officer) no longer on Schedule A of Charles Schwab Investment Management, Inc (listed 2023-05-17, absent 2023-11-02)
Form ADVobserved 4 days ago
Occurred
Nov 2, 2023
Control person left
Christian Jonathan De St Paer (Director, President And Chief Operating Officer) no longer on Schedule A of Charles Schwab Investment Management, Inc (listed 2023-05-17, absent 2023-11-02)
Form ADVobserved 4 days ago
Occurred
Nov 21, 2022
Advisor changed firm
Justin Stewart Land left Charles Schwab Investment Management, Inc for Bcm Capital Management Llc (registered 2025-09-04)
Form ADVobserved 4 days ago
Occurred
Oct 19, 2022
Advisor changed firm
Brandon J Cromer left Charles Schwab Investment Management, Inc for Ashton Thomas Securities, Llc (registered 2024-10-23)
Form ADVobserved 4 days ago
Occurred
Oct 26, 2021
Control person left
William Walter Bettinger (Director) no longer on Schedule A of Charles Schwab Investment Management, Inc (listed 2021-09-20, absent 2021-10-26)
Form ADVobserved 4 days ago
Occurred
Jan 11, 2021
Control person left
Larry Bryan Olson (Svp, Chief Operating Officer) no longer on Schedule A of Charles Schwab Investment Management, Inc (listed 2020-07-30, absent 2021-01-11)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Regulatory AUM changed
Charles Schwab Investment Management, Inc reported RAUM $506.3B, up 33% from $379.3B (2019-11-01 to 2020-03-27)
Form ADVobserved 4 days ago
$127.0B
Occurred
Mar 27, 2020
Control person left
Manuel George Pereira (Svp, Chief Financial Officer And Chief Operating Officer) no longer on Schedule A of Charles Schwab Investment Management, Inc (listed 2019-11-01, absent 2020-03-27)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Control person joined
Larry Bryan Olson (Svp, Chief Operating Officer) appeared on Schedule A of Charles Schwab Investment Management, Inc
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Control person joined
Dickhut Mark Fischer (Vp, Chief Financial Officer) appeared on Schedule A of Charles Schwab Investment Management, Inc
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Control person joined
Patrick William Mcmahon (Svp And Chief Investment Officer) appeared on Schedule A of Charles Schwab Investment Management, Inc
Form ADVobserved 4 days ago
Occurred
Nov 1, 2019
Control person joined
A Richard Wurster (Chief Executive Officer) appeared on Schedule A of Charles Schwab Investment Management, Inc
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Control person left
Anastasia Marie Chandoha (Director And Chief Executive Officer) no longer on Schedule A of Charles Schwab Investment Management, Inc (listed 2018-11-29, absent 2019-03-29)
Form ADVobserved 4 days ago

Show 7 bookkeeping events

Occurred
Mar 30, 2026
Charles Schwab Investment Management, Inc reported 167 offices beyond its principal office, up from 104 (2025-12-11 to 2026-03-30)
Occurred
Mar 29, 2024
Charles Schwab Investment Management, Inc reported 107 offices beyond its principal office, down from 158 (2023-11-02 to 2024-03-29)
Occurred
Mar 30, 2023
Charles Schwab Investment Management, Inc reported 158 offices beyond its principal office, up from 56 (2022-09-21 to 2023-03-30)
Occurred
Mar 30, 2022
Charles Schwab Investment Management, Inc reported 56 offices beyond its principal office, up from 18 (2022-03-07 to 2022-03-30)
Occurred
Mar 30, 2022
Charles Schwab Investment Management, Inc reported 44 state-registered advisory representatives, up from 34 (2022-03-07 to 2022-03-30)
Occurred
Mar 30, 2021
Charles Schwab Investment Management, Inc reported 18 offices beyond its principal office, up from 4 (2021-01-11 to 2021-03-30)
Occurred
Mar 30, 2021
Charles Schwab Investment Management, Inc reported 34 state-registered advisory representatives, up from 0 (2021-01-11 to 2021-03-30)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:36efa7cc-78f8-609b-4e40-c9243421e4b8
First observed: Mar 30, 2012
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

CRD 106753

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:36efa7cc-78f8-609b-4e40-c9243421e4b8

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:32 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CHRISTOPHER SHEEHAN

n/a

SAN FRANCISCO, CA | Richfield, OH

BRIAN EDWARD FERRY

Chartered Financial Analyst

Richfield, OH | SAN FRANCISCO, CA

Jeffrey M Yun

n/a

Naples, FL | SAN FRANCISCO, CA

JASON DUANE DIEFENTHALER

n/a

Naples, FL | SAN FRANCISCO, CA

BRIAN M DIXON

Chartered Financial Analyst

Naples, FL | SAN FRANCISCO, CA

Ruta Stiess

Chartered Financial Analyst

Naples, FL | SAN FRANCISCO, CA

JAMIE L PEEK

n/a

Naples, FL | SAN FRANCISCO, CA

DANIEL W GRIFFITH

n/a

SAN FRANCISCO, CA | Lone Tree, CO

MATHEW TODD PETTY

Chartered Financial Analyst

Lone Tree, CO | SAN FRANCISCO, CA

MICHAEL ANTHONY MORIN

n/a

SAN FRANCISCO, CA | Boston, MA

NICOLE EILEEN CALABRESE

n/a

SAN FRANCISCO, CA | Boston, MA

TESS Montague Papazian

n/a

SAN FRANCISCO, CA | Naples, FL

JAMES ALLAN SERHANT

Chartered Financial Analyst

SAN FRANCISCO, CA | Boston, MA

MATTHEW MICHAEL GUGLIEMINI

Chartered Financial Analyst

Boston, MA | SAN FRANCISCO, CA

MATTHEW JOSEPH KUSS

n/a

SAN FRANCISCO, CA | Montclair, NJ

n/a

KELLY JOHNSON

Chartered Financial Analyst

Marina Del Rey, CA | SAN FRANCISCO, CA

TREVOR P DURHAM

n/a

SAN FRANCISCO, CA | NAPLES, FL

JESSE A RENDA

n/a

Naples, FL | SAN FRANCISCO, CA

WILLIAM PATRICK MCMAHON

Chartered Financial Analyst

Boston, MA | SAN FRANCISCO, CA

VIRAJ DESAI

Chartered Financial Analyst

North Bergen, NJ

NICHOLAS J RUBINO

n/a

Jersey City, NJ | SAN FRANCISCO, CA

NICHOLAS E GLENN

n/a

RALEIGH, NC

SAM GRIFFIN LASHIN

n/a

Huntersville, NC

James Earl Staten

Certified Financial Planner

Atlanta, GA

CONNOR LEE JACOBS

Chartered Financial Analyst

Lone Tree, CO

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AGUILAR CHAVEZ, OMAR

DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHIEF INVESTMENT OFFICER

yes

10/2024

Mar 30, 2012

Dec 20, 2024

CASSIDY, PATRICK, S

CHIEF INVESTMENT OFFICER

yes

11/2023

Nov 2, 2023

Dec 20, 2024

MCMAHON, WILLIAM, PATRICK

CHIEF INVESTMENT OFFICER

yes

01/2020

Mar 27, 2020

Dec 20, 2024

SEIDLITZ, JESSICA, ANN

CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER

yes

09/2024

Nov 2, 2023

Dec 20, 2024

THE CHARLES SCHWAB CORPORATION

100% OWNER OF REGISTRANT

yes

10/1989

Mar 30, 2012

Dec 20, 2024

Verdeschi, Michael, Daniel

Director

yes

10/2024

Oct 4, 2024

Dec 20, 2024

Wurster, Richard, A

Director

yes

10/2021

Nov 1, 2019

Dec 20, 2024

HUNTER, MARK

CHIEF COMPLIANCE OFFICER

12/2024

Dec 20, 2024

MACGREGOR, CATHERINE, MARGARET

CHIEF LEGAL OFFICER

03/2022

Mar 30, 2022

Dec 20, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SCHWAB WEALTH ADVISORY, INC.

n/a

No RAUM reported

yes

n/a

CHARLES SCHWAB & CO., INC.

n/a

National bd RIA

n/a

yes

CHARLES SCHWAB BANK

n/a

yes

n/a

CHARLES SCHWAB PREMIER BANK

n/a

yes

n/a

CHARLES SCHWAB TRUST BANK

n/a

yes

n/a

CHARLES SCHWAB TRUST COMPANY

n/a

yes

n/a

TD AMERITRADE CLEARING, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

LONE TREE

United States

136

yes

Naples

United States

Boston

United States

yes

Chicago

United States

yes

Westlake

United States

yes

JERSEY CITY

United States

yes

Cleveland

United States

Raleigh

United States

Richfield

United States

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$1721B

$1697B

946

175

167

n/a

2024

Mar 27, 2025

$1437B

$1415B

877

173

104

n/a

2023

Mar 29, 2024

$1099B

$1076B

857

186

107

n/a

2022

Mar 30, 2023

$783B

$758B

1,007

212

158

n/a

2021

Mar 30, 2022

$701B

$670B

886

184

n/a

2020

Mar 30, 2021

$610B

$581B

782

174

n/a

2019

Mar 27, 2020

$506B

$480B

538

110

n/a

2018

Mar 29, 2019

$379B

$358B

492

105

n/a

2017

Mar 30, 2018

$361B

$345B

423

n/a

2016

Mar 30, 2017

$302B

$290B

360

n/a

2015

Mar 30, 2016

$280B

$268B

314

n/a

2014

Mar 30, 2015

$267B

$257B

204

n/a

2013

Mar 28, 2014

$248B

$239B

200

n/a

2012

Mar 28, 2013

$224B

$218B

200

n/a

2011

Mar 30, 2012

$215B

$202B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1721B

$1437B

19.8%

$783B

30.0%

946

877

167

104

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

Sep 7, 2023

Dec 12, 2022

JERSEY CITY, NJ

Channel change

Other

0.3%

CHARLES SCHWAB & CO., INC.

Dec 22, 2022

Jan 3, 2023

AUSTIN, TX

Channel change

Other

0.0%

CHARLES SCHWAB INVESTMENT ADVISORY, INC

Jul 7, 2022

Jul 6, 2022

SAN FRANCISCO, CA

Channel change

Other

40.0%

CHARLES SCHWAB INVESTMENT ADVISORY, INC

Mar 8, 2022

Mar 21, 2022

SAN FRANCISCO, CA

Channel change

Other

11.8%

CHARLES SCHWAB INVESTMENT ADVISORY, INC

Oct 20, 2020

Oct 28, 2020

SAN FRANCISCO, CA

Channel change

Other

11.8%

CHARLES SCHWAB INVESTMENT ADVISORY, INC

Sep 28, 2020

Sep 22, 2020

SAN FRANCISCO, CA

Channel change

Other

5.4%

CHARLES SCHWAB INVESTMENT ADVISORY, INC

Aug 28, 2020

Sep 9, 2020

SAN FRANCISCO, CA

Channel change

Other

5.1%

WASMER SCHROEDER

Jul 2, 2020

Aug 13, 2020

NAPLES, FL

Firm absorbed

Other

60.0%