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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

SCHWAB WEALTH INVESTMENT ADVISORY, INC.

CRD 173455

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:a5efc7d5-3938-b9e9-da61-3a7e34fa8a20

Data as of Jan 2, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 1
On other graphs: 0
Observed: Oct 15, 2014 to Jan 2, 2018
9 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 13
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
SEC number: 801-80497
CRD: 173455
Filings on the tape: 9
First filed: Oct 15, 2014
Latest filed: Jan 2, 2018
Organised: Corporation, Delaware

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
DOOHER, ALISON, PEARCY	CHIEF OPERATING OFFICER	Na	yes	03/2016	Mar 29, 2016	Jan 2, 2018
MCDANIEL, TOBIN, L	President	Na	yes	03/2015	Mar 30, 2015	Jan 2, 2018
SCHWAB HOLDINGS	100% OWNER	E	yes	01/2015	Oct 15, 2014	Jan 2, 2018
THE CHARLES SCHWAB CORPORATION	Shareholder	E	yes	11/2014	Oct 15, 2014	Jan 2, 2018
BATES, MARLENE, MARIE-LAURE	CHIEF FINANCIAL OFFICER	Na	no	12/2015	Mar 30, 2017	Jan 2, 2018
MARTIN, PHILIP, ROGER	CHIEF COMPLIANCE OFFICER	Na	no	01/2015	Oct 15, 2014	Jan 2, 2018

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
THOMASPARTNERS, INC.	n/a	Former SEC adviser	$15B	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
CHARLES SCHWAB TRUST COMPANY	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	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
2016	Mar 30, 2017	n/a	n/a	13	5	n/a	n/a	n/a
2015	Mar 29, 2016	n/a	n/a	20	20	n/a	n/a	n/a
2014	Mar 30, 2015	n/a	n/a	20	20	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
2016	n/a	n/a	n/a	n/a	n/a	13	20	1	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CHARLES SCHWAB & CO., INC.	5	Mar 29, 2018	Jan 19, 2018	SAN FRANCISCO, CA	Firm absorbed	Other	71.4%

Relationships

Affiliated with (6)

← THOMASPARTNERS, INC.Registered adviserother investment adviser, common control
factForm ADV
← WINDHAVEN INVESTMENT MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ THOMASPARTNERS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CHARLES SCHWAB INVESTMENT MANAGEMENT, INCRegistered 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 (2)

← MARTIN, PHILIP, ROGEROwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 15, 2014 to presentfactForm ADV
← BATES, MARLENE, MARIE-LAUREOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2017 to presentfactForm ADV

Controls (4)

← DOOHER, ALISON, PEARCYOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 29, 2016 to presentfactForm ADV
← MCDANIEL, TOBIN, LOwnerPRESIDENT, ownership code NA, individual
Mar 30, 2015 to presentfactForm ADV
← SCHWAB HOLDINGSOwner100% OWNER, ownership code E, domestic entity
Oct 15, 2014 to presentfactForm ADV
← THE CHARLES SCHWAB CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Oct 15, 2014 to presentfactForm ADV

Registered with (10)

← CHRISTOPHER B BURTAdvisorregistration: previous registration
Jun 14, 2016 to Mar 29, 2018factForm ADV
← Alison Pearcy DooherAdvisorregistration: previous registration
Jan 21, 2015 to Mar 29, 2018factForm ADV
← Michael J StolpAdvisorregistration: previous registration
Mar 30, 2017 to Mar 29, 2018factForm ADV
← THOMAS MATTHEW MCANDREWSAdvisorregistration: previous registration
Jan 15, 2015 to Mar 29, 2018factForm ADV
← BRANDON JAMES SINSAdvisorregistration: previous registration
Jan 15, 2015 to Mar 29, 2018factForm ADV
← Jeremiah BrodeurAdvisorregistration: previous registration
Jan 15, 2015 to Mar 29, 2018factForm ADV
← Kristin Jarrett BorinoAdvisorregistration: previous registration
Apr 5, 2016 to Mar 29, 2018factForm ADV
← Stephen Merrick LemeshewskyAdvisorregistration: previous registration
Jan 15, 2015 to Jan 19, 2018factForm ADV
← Connor Francis MurphyAdvisorregistration: previous registration
May 12, 2017 to Jan 2, 2018factForm ADV
← ROBERT LANCE BURCHAdvisorregistration: previous registration
Mar 12, 2015 to Dec 13, 2016factForm ADV

Moved with (1)

→ CHARLES SCHWAB & CO., INC.Registered adviser5 advisors, firm absorbed, same day
Mar 29, 2018 to Jan 19, 2018factForm ADV

Dated events

Occurred
Oct 15, 2014
First Form ADV filing
Schwab Wealth Investment Advisory, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5efc7d5-3938-b9e9-da61-3a7e34fa8a20
First observed: Oct 15, 2014
Last observed: Jan 2, 2018 106 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.

SCHWAB WEALTH INVESTMENT ADVISORY, INC.

CRD 173455

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:a5efc7d5-3938-b9e9-da61-3a7e34fa8a20

Data as of Jan 2, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:57 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DOOHER, ALISON, PEARCY

CHIEF OPERATING OFFICER

yes

03/2016

Mar 29, 2016

Jan 2, 2018

MCDANIEL, TOBIN, L

President

yes

03/2015

Mar 30, 2015

Jan 2, 2018

SCHWAB HOLDINGS

100% OWNER

yes

01/2015

Oct 15, 2014

Jan 2, 2018

THE CHARLES SCHWAB CORPORATION

Shareholder

yes

11/2014

Oct 15, 2014

Jan 2, 2018

BATES, MARLENE, MARIE-LAURE

CHIEF FINANCIAL OFFICER

12/2015

Mar 30, 2017

Jan 2, 2018

MARTIN, PHILIP, ROGER

CHIEF COMPLIANCE OFFICER

01/2015

Oct 15, 2014

Jan 2, 2018

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

THOMASPARTNERS, INC.

n/a

Former SEC adviser

$15B

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

CHARLES SCHWAB TRUST COMPANY

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

LONE TREE

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

n/a

2015

Mar 29, 2016

n/a

2014

Mar 30, 2015

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CHARLES SCHWAB & CO., INC.

Mar 29, 2018

Jan 19, 2018

SAN FRANCISCO, CA

Firm absorbed

Other

71.4%