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RIA / WealthAdvisorChartered Financial Analyst24 years in industry

KELLY JOHNSON

Advisor at CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

Marina Del Rey, CA | SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:9de29c65-8710-fdee-cf38-d5437b45906b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 5, 2015 to Sep 14, 2026

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

Current firm: CHARLES SCHWAB INVESTMENT MANAGEMENT, INC
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 4, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Analyst
Exams: S66
First exam: Dec 4, 2001
First registration: Feb 5, 2015
Dual registered: no
Other names: KELLY JOHNSON|KELLY JOHNSON
IAPD individual key: 4431711

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC	Other adviser	Jan 15, 2021	n/a	yes	SAN FRANCISCO, CA\|Marina Del Rey, CA	Current employment
CHARLES SCHWAB INVESTMENT ADVISORY, INC	Former SEC adviser	Feb 16, 2018	Jan 15, 2021	no	Newport Beach, CA\|SAN FRANCISCO, CA	Previous registration
WINDHAVEN INVESTMENT MANAGEMENT, INC.	Former SEC adviser	Jun 15, 2017	Mar 30, 2018	no	Newport Beach, CA\|BOSTON, MA	Previous registration
THOMASPARTNERS, INC.	Former SEC adviser	Jun 15, 2017	Mar 30, 2018	no	Newport Beach, CA\|BOSTON, MA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Mar 24, 2016	Jun 8, 2017	no	Newport Beach, CA\|Brea, CA\|Austin, TX	Previous registration
RBC ROCHDALE, LLC	Bd affiliated wealth	Feb 5, 2015	Jan 8, 2016	no	IRVINE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CHARLES SCHWAB INVESTMENT ADVISORY, INC	CHARLES SCHWAB INVESTMENT MANAGEMENT, INC	Jan 15, 2021	Jan 15, 2021	0	Channel change	Other
THOMASPARTNERS, INC.	WINDHAVEN INVESTMENT MANAGEMENT, INC.	Mar 30, 2018	Jun 15, 2017	-288	Channel change	Other
WINDHAVEN INVESTMENT MANAGEMENT, INC.	CHARLES SCHWAB INVESTMENT ADVISORY, INC	Mar 30, 2018	Feb 16, 2018	-42	Channel change	Other
CHARLES SCHWAB & CO., INC.	THOMASPARTNERS, INC.	Jun 8, 2017	Jun 15, 2017	7	Channel change	Other
RBC ROCHDALE, LLC	CHARLES SCHWAB & CO., INC.	Jan 8, 2016	Mar 24, 2016	76	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
104966:155138:MA:2018-03-30	Mar 30, 2018	Jun 15, 2017	BOSTON, MA	Firm change after gap
155138:151739:MA:2018-03-30	Mar 30, 2018	Feb 16, 2018	BOSTON, MA	Firm change after gap

Relationships

Registered with (6)

→ CHARLES SCHWAB INVESTMENT MANAGEMENT, INCRegistered adviserregistration: current employment
Jan 15, 2021 to presentfactForm ADV
→ CHARLES SCHWAB INVESTMENT ADVISORY, INCRegistered adviserregistration: previous registration
Feb 16, 2018 to Jan 15, 2021factForm ADV
→ THOMASPARTNERS, INC.Registered adviserregistration: previous registration
Jun 15, 2017 to Mar 30, 2018factForm ADV
→ WINDHAVEN INVESTMENT MANAGEMENT, INC.Registered adviserregistration: previous registration
Jun 15, 2017 to Mar 30, 2018factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Mar 24, 2016 to Jun 8, 2017factForm ADV
→ RBC ROCHDALE, LLCRegistered adviserregistration: previous registration
Feb 5, 2015 to Jan 8, 2016factForm ADV

Dated events

No dated event names this entity yet.