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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

BROKERSXPRESS LLC

CRD 127081

CHICAGO, IL

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:93a919be-d51a-3f23-a667-e73bc8181918

Data as of May 25, 2012 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 112
Dated events: 0
On other graphs: 0
Observed: Feb 9, 2012 to May 25, 2012
3 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $829MItem 5.F on the latest filing (2012-05-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $687M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 6,237
SEC number: 801-66123
CRD: 127081
Filings on the tape: 3
First filed: Feb 9, 2012
Latest filed: May 25, 2012
Organised: Limited Liability Company, Illinois

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
BROKERSXPRESS ILLINOIS, INC.	MANAGING MEMBER	E	yes	06/2008	Feb 9, 2012	May 25, 2012
METZGER, BARRY SCOTT	Ceo	Na	yes	11/2006	Feb 9, 2012	May 25, 2012
KONOP, LYNN MARIE	CHIEF COMPLIANCE OFFICER	Na	no	04/2012	May 25, 2012	May 25, 2012
OPTIONSXPRESSHOLDINGS, INC.	Owner	E	no	06/2008	Feb 9, 2012	May 25, 2012
THE CHARLES SCHWAB CORPORATION	HOLDING COMPANY ACQUIRED OUR HOLDING COMPANY	E	no	09/2011	Feb 9, 2012	May 25, 2012

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
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC	n/a	Other adviser	$1721B	N	yes	n/a
WINDHAVEN INVESTMENT MANAGEMENT, INC.	n/a	Former SEC adviser	$8.1B	N	yes	n/a
SCHWAB PRIVATE CLIENT INVESTMENT 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 INVESTMENT ADVISORY, INC.	n/a	n/a	n/a	N	yes	n/a
OPEN E CRY, LLC	n/a	n/a	n/a	N	yes	n/a
OPTIONSXPRESS AUSTRALIA PTY LIMITED	n/a	n/a	n/a	N	yes	n/a
OPTIONSXPRESS CANADA CORP.	n/a	n/a	n/a	N	yes	n/a
OPTIONSXPRESS EUROPE BV	n/a	n/a	n/a	N	yes	n/a
OPTIONSXPRESS SINGAPORE PTE LTD	n/a	n/a	n/a	N	yes	n/a
OPTIONSXPRESS, INC.	n/a	n/a	n/a	Y	yes	IL

Offices

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

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	n/a	no
BROKERN ARROW	Ok	United States	n/a	no
Baytown	TX	United States	n/a	no
Houston	TX	United States	n/a	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
2011	Mar 8, 2012	$829M	$687M	n/a	n/a	n/a	n/a	n/a

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
2011	$829M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

showing 80 of 112

Affiliated with (4)

→ CHARLES SCHWAB INVESTMENT MANAGEMENT, INCRegistered adviserother investment adviser, common control
factForm ADV
→ WINDHAVEN INVESTMENT MANAGEMENT, INC.Registered adviserother investment adviser, 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

Owns (3)

← KONOP, LYNN MARIEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 25, 2012 to presentfactForm ADV
← OPTIONSXPRESSHOLDINGS, INC.OwnerOWNER, ownership code E, domestic entity
Feb 9, 2012 to presentfactForm ADV
← THE CHARLES SCHWAB CORPORATIONOwnerHOLDING COMPANY ACQUIRED OUR HOLDING COMPANY, ownership code E, domestic entity
Feb 9, 2012 to presentfactForm ADV

Controls (2)

← METZGER, BARRY SCOTTOwnerCEO, ownership code NA, individual
Feb 9, 2012 to presentfactForm ADV
← BROKERSXPRESS ILLINOIS, INC.OwnerMANAGING MEMBER, ownership code E, domestic entity
Feb 9, 2012 to presentfactForm ADV

Registered with (71)

← Molly AmbrosinoAdvisorregistration: previous registration
Aug 15, 2011 to Dec 3, 2012factForm ADV
← Alexander L RynkovskyAdvisorregistration: previous registration
Nov 30, 2010 to Sep 10, 2012factForm ADV
← JACKSON JOHN LOUNSBERRYAdvisorregistration: previous registration
Dec 10, 2007 to Sep 10, 2012factForm ADV
← THERESA LYNN BADGETTAdvisorregistration: previous registration
Apr 9, 2007 to Sep 10, 2012factForm ADV
← ASIM SHEIKHAdvisorregistration: previous registration
Aug 10, 2009 to Sep 7, 2012factForm ADV
← PETER HENRY KARNOWSKIAdvisorregistration: previous registration
Aug 10, 2010 to Sep 7, 2012factForm ADV
← HENRY LEQUENCE SMITHAdvisorregistration: previous registration
Mar 15, 2010 to Sep 7, 2012factForm ADV
← TIMOTHY M WEBBAdvisorregistration: previous registration
Sep 18, 2009 to Sep 7, 2012factForm ADV
← ANDREW KYLE MEADOWSAdvisorregistration: previous registration
Dec 9, 2009 to Sep 7, 2012factForm ADV
← MICHAEL ALAN HAMILTONAdvisorregistration: previous registration
Jun 19, 2009 to Sep 6, 2012factForm ADV
← Michael Joseph O'MaraAdvisorregistration: previous registration
Aug 10, 2010 to Sep 6, 2012factForm ADV
← RAY ALLEN SCHOONOVERAdvisorregistration: previous registration
Jun 1, 2011 to Aug 31, 2012factForm ADV
← MICHAEL EDWARD LAVELLEAdvisorregistration: previous registration
Oct 6, 2006 to Aug 31, 2012factForm ADV
← THOMAS WYMAN BADGETTAdvisorregistration: previous registration
Mar 6, 2006 to Aug 31, 2012factForm ADV
← GREG LESLIE MCMULLENAdvisorregistration: previous registration
Dec 16, 2010 to Aug 28, 2012factForm ADV
← GEOFFREY JAY INGRAMAdvisorregistration: previous registration
Oct 30, 2009 to Aug 28, 2012factForm ADV
← DANIEL R LEVENEAdvisorregistration: previous registration
Jul 30, 2010 to Aug 24, 2012factForm ADV
← JAMES PAUL NUNEZAdvisorregistration: previous registration
Feb 1, 2012 to Aug 23, 2012factForm ADV
← TODD ANTHONY HEATH-HAZLETTAdvisorregistration: previous registration
Jun 3, 2011 to Aug 21, 2012factForm ADV
← ANDREW DAVID SHARPAdvisorregistration: previous registration
Mar 3, 2010 to Aug 21, 2012factForm ADV
← JOSHUA DAVID ARNOLDAdvisorregistration: previous registration
Oct 3, 2008 to Aug 17, 2012factForm ADV
← LARRY SCOTT WALLACEAdvisorregistration: previous registration
May 17, 2010 to Aug 16, 2012factForm ADV
← GABRIEL SIMON KORAAdvisorregistration: previous registration
Apr 21, 2008 to Aug 15, 2012factForm ADV
← ANDREW ANTHONY GREZAFFIAdvisorregistration: previous registration
Apr 11, 2008 to Aug 15, 2012factForm ADV
← SHARONE HAKMANAdvisorregistration: previous registration
Mar 4, 2010 to Aug 14, 2012factForm ADV
← RYAN DOUGLAS MORSEAdvisorregistration: previous registration
Dec 1, 2008 to Aug 14, 2012factForm ADV
← PETER STUART WYROUGHAdvisorregistration: previous registration
Nov 4, 2008 to Aug 13, 2012factForm ADV
← SCOTT KENDALL BRANSONAdvisorregistration: previous registration
May 22, 2008 to Aug 13, 2012factForm ADV
← MICHAEL WEBB POSTAdvisorregistration: previous registration
Jan 4, 2010 to Aug 8, 2012factForm ADV
← JEFFRY SCOTT LIVINGSTONAdvisorregistration: previous registration
Aug 1, 2011 to Aug 7, 2012factForm ADV
and 41 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:93a919be-d51a-3f23-a667-e73bc8181918
First observed: Feb 9, 2012
Last observed: May 25, 2012 174 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.

BROKERSXPRESS LLC

CRD 127081

CHICAGO, IL

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:93a919be-d51a-3f23-a667-e73bc8181918

Data as of May 25, 2012 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:02 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROKERSXPRESS ILLINOIS, INC.

MANAGING MEMBER

yes

06/2008

Feb 9, 2012

May 25, 2012

METZGER, BARRY SCOTT

Ceo

yes

11/2006

Feb 9, 2012

May 25, 2012

KONOP, LYNN MARIE

CHIEF COMPLIANCE OFFICER

04/2012

May 25, 2012

OPTIONSXPRESSHOLDINGS, INC.

Owner

06/2008

Feb 9, 2012

May 25, 2012

THE CHARLES SCHWAB CORPORATION

HOLDING COMPANY ACQUIRED OUR HOLDING COMPANY

09/2011

Feb 9, 2012

May 25, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

n/a

Other adviser

$1721B

yes

n/a

WINDHAVEN INVESTMENT MANAGEMENT, INC.

n/a

Former SEC adviser

$8.1B

yes

n/a

SCHWAB PRIVATE CLIENT INVESTMENT 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 INVESTMENT ADVISORY, INC.

n/a

yes

n/a

OPEN E CRY, LLC

n/a

yes

n/a

OPTIONSXPRESS AUSTRALIA PTY LIMITED

n/a

yes

n/a

OPTIONSXPRESS CANADA CORP.

n/a

yes

n/a

OPTIONSXPRESS EUROPE BV

n/a

yes

n/a

OPTIONSXPRESS SINGAPORE PTE LTD

n/a

yes

n/a

OPTIONSXPRESS, INC.

n/a

yes

City

State

Country

Employees

Also broker-dealer

Chicago

United States

n/a

BROKERN ARROW

United States

n/a

Baytown

United States

n/a

Houston

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 8, 2012

$829M

$687M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$829M

n/a