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RIA / WealthAdvisor16 years in industry

Wendy Ambrosius Grall

Advisor at CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

Lone Tree, CO | SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:afedea62-2e39-540a-3f9a-8fe6487bf3ba

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 17, 2016 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: Mar 5, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 5, 2010
First registration: Oct 17, 2016
Dual registered: no
Other names: WENDY ANN AMBROSIUS
IAPD individual key: 5749836

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	Sep 11, 2025	n/a	yes	Lone Tree, CO\|SAN FRANCISCO, CA	Current employment
WELLS FARGO INVESTMENT INSTITUTE, INC.	Bank affiliated wealth	Nov 30, 2021	May 7, 2025	no	Denver, CO\|Denver, CO	Previous registration
PIPER SANDLER & CO.	Institutional manager	Jan 4, 2017	Jun 8, 2017	no	Milwaukee, WI	Previous registration
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Oct 17, 2016	Dec 31, 2016	no	Milwaukee, WI	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
WELLS FARGO INVESTMENT INSTITUTE, INC.	CHARLES SCHWAB INVESTMENT MANAGEMENT, INC	May 7, 2025	Sep 11, 2025	127	Firm change	Other
PIPER SANDLER & CO.	WELLS FARGO INVESTMENT INSTITUTE, INC.	Jun 8, 2017	Nov 30, 2021	1,636	Firm change after gap	Other
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC	PIPER SANDLER & CO.	Dec 31, 2016	Jan 4, 2017	4	Firm change	Other

Relationships

Registered with (4)

→ CHARLES SCHWAB INVESTMENT MANAGEMENT, INCRegistered adviserregistration: current employment
Sep 11, 2025 to presentfactForm ADV
→ WELLS FARGO INVESTMENT INSTITUTE, INC.Registered adviserregistration: previous registration
Nov 30, 2021 to May 7, 2025factForm ADV
→ PIPER SANDLER & CO.Registered adviserregistration: previous registration
Jan 4, 2017 to Jun 8, 2017factForm ADV
→ PIPER JAFFRAY INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 17, 2016 to Dec 31, 2016factForm ADV

Dated events

Occurred
May 7, 2025
Advisor changed firm
Wendy Ambrosius Grall left Wells Fargo Investment Institute, Inc. for Charles Schwab Investment Management, Inc (registered 2025-09-11)
Form ADVobserved 5 days ago