DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Charles Schwab Investment Management, Inc
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 41 filings
SEC status approved since Jan 25, 1990
RAUM
$1721B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
13%
$215B individuals and HNW
Advisors
37
registered through the firm on IAPD
RAUM per advisor
$47B
derived; firm RAUM over IAPD count
Employees
946
175 advisory (5.B.1)
Offices
167
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$1721B as of Mar 30, 2026
Mar 30, 2012$215B then
HNW client RAUM$107B as of Mar 30, 2026
Mar 30, 2018$8.0M then
State-registered IARs (5.B.3)37 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)946 as of Mar 30, 2026
Mar 28, 2013200 then
Private funds: no history
RAUM +20% over the last fiscal year+30% a year over threeIARs 38 to 37offices 104 to 167
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $47BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23,036derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $692,525derivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 25.6derivedItem 5.A over advisors
- Advisors per office
- 0.2derived168 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -2.6%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $504M, 393 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1474B86%
- Individuals$108B6.3%
- High-net-worth individuals$107B6.2%
- Pooled investment vehicles$25B1.4%
- Corporations and businesses$4.0B0.2%
- Pension and profit-sharing plans$1.7B0.1%
- Charitable organizations$758M0.0%
- Insurance companies$420M0.0%
- State and municipal entities$239M0.0%
- Individual clients
- 697,928reported
- HNW clients
- 154,404reported
- Pension plan clients
- 1,805reported
- Charitable clients
- 264reported
- Accounts
- 856,597reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $211B managedreported
- Custody of client assets
- $504M for 393 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.13 fund_share=0.87 institutional_share=0.0 related_bd=true related_bank=true bd_reps=138.0derived
Advisors registered through the firm
37 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Christopher Sheehan | San Francisco, Ca | Jul 1, 2020 | 20 y | 1 |
| Brian Edward FerryChartered Financial Analyst | Richfield, Oh | Jul 2, 2020 | 12 y | 1 |
| Brian M DixonChartered Financial Analyst | Naples, Fl | Jul 7, 2020 | 16 y | 1 |
| Jason Duane Diefenthaler | Naples, Fl | Jul 7, 2020 | 26 y | 1 |
| Ruta StiessChartered Financial Analyst | Naples, Fl | Jul 7, 2020 | 11 y | 1 |
| Jeffrey M Yun | Naples, Fl | Jul 7, 2020 | 27 y | 2 |
| Jamie L Peek | Naples, Fl | Jul 9, 2020 | 10 y | 1 |
| Daniel W Griffith | San Francisco, Ca | Jul 13, 2020 | 10 y | 1 |
| Mathew Todd PettyChartered Financial Analyst | Lone Tree, Co | Sep 1, 2020 | 20 y | 3 |
| Michael Anthony Morin | San Francisco, Ca | Sep 15, 2020 | 25 y | 3 |
| Nicole Eileen Calabrese | San Francisco, Ca | Sep 22, 2020 | 16 y | 4 |
| Tess Montague Papazian | San Francisco, Ca | Sep 22, 2020 | 10 y | 2 |
| James Allan SerhantChartered Financial Analyst | San Francisco, Ca | Oct 13, 2020 | 30 y | 1 |
| Matthew Michael GuglieminiChartered Financial Analyst | Boston, Ma | Oct 28, 2020 | 17 y | 3 |
| Matthew Joseph Kuss | San Francisco, Ca | Nov 13, 2020 | 27 y | 0 |
| Kelly JohnsonChartered Financial Analyst | Marina Del Rey, Ca | Jan 15, 2021 | 24 y | 5 |
| Trevor P Durham | San Francisco, Ca | Apr 6, 2022 | 10 y | 2 |
| Jesse A Renda | Naples, Fl | May 11, 2022 | 10 y | 2 |
| William Patrick McmahonChartered Financial Analyst | Boston, Ma | Jul 6, 2022 | 27 y | 3 |
| Nicholas J Rubino | Jersey City, Nj | Dec 12, 2022 | 12 y | 4 |
| Viraj DesaiChartered Financial Analyst | North Bergen, Nj | Dec 12, 2022 | 11 y | 1 |
| Nicholas E Glenn | Raleigh, Nc | Jan 3, 2023 | 20 y | 2 |
| Sam Griffin Lashin | Huntersville, Nc | Jan 3, 2023 | 10 y | 4 |
| James Earl StatenCertified Financial Planner | Atlanta, Ga | Mar 10, 2023 | 16 y | 4 |
| Connor Lee JacobsChartered Financial Analyst | Lone Tree, Co | Jun 1, 2023 | 10 y | 1 |
| Tamu Elaine Dawson | Chicago, Il | Dec 21, 2023 | 19 y | 1 |
| Russell Paul OwChartered Financial Analyst | San Francisco, Ca | Mar 21, 2024 | 18 y | 2 |
| Elvis Zhisney Zuniga | Westlake, Tx | Jun 20, 2024 | 10 y | 4 |
| John Anthony Hayek | Boston, Ma | Sep 6, 2024 | 14 y | 2 |
| Sarjoo Narendra PatelCertified Financial Planner | Westlake, Tx | Jan 28, 2025 | 24 y | 5 |
| Kevin A Boorman | Naples, Fl | May 30, 2025 | 13 y | 1 |
| Wendy Ambrosius Grall | Lone Tree, Co | Sep 11, 2025 | 16 y | 3 |
| Maximillian Breier | New York City, Ny | Sep 23, 2025 | 29 y | 1 |
| Adam Germaine | Boston, Ma | Oct 22, 2025 | 10 y | 0 |
| Cindy Lopez | Westlake , Tx | May 27, 2026 | 14 y | 3 |
| Michal Ryszard BartkiewiczCertified Financial Planner | Lone Tree, Co | Jun 3, 2026 | 26 y | 2 |
| Matthew Richard SchooleyChartered Financial Analyst | Lone Tree, Co | Jun 4, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount5 left over 36 months
Left, latest
- Landon Wriedt to Voya Financial Advisors, Inc.Dec 2, 2024 · Other
- David Alexander Poole to Verity Investment PartnersApr 25, 2024 · Other
- Connor Francis Murphy to CachetechFeb 6, 2024 · Other
- Cory M Shapira to Osaic Institutions, Inc.Jan 16, 2024 · Other
- Rayvon Solomon to Ameriprise Financial Services, LLCJan 9, 2024 · Other
- Justin Stewart Land to Bcm Capital Management LLCNov 21, 2022 · Other
- Brandon J Cromer to Ashton Thomas Securities, LLCOct 19, 2022 · Other
Joined, latest
- Maximillian Breier from Neuberger Berman Bd LLCSep 23, 2025 · Other
- Wendy Ambrosius Grall from Wells Fargo Investment Institute, Inc.Sep 11, 2025 · Other
- Kevin A Boorman from J.P. Morgan Private Wealth Advisors LLCMay 30, 2025 · Other
- Divya Krishnan from Motif Capital Management, Inc.Sep 8, 2021 · Other
- Justin Stewart Land from Wasmer SchroederAug 13, 2020 · Other
- Daniel W Griffith from Wasmer SchroederJul 13, 2020 · Other
- Jamie L Peek from Wasmer SchroederJul 9, 2020 · Other
- Jason Duane Diefenthaler from Wasmer SchroederJul 7, 2020 · Other
- Brian M Dixon from Wasmer SchroederJul 7, 2020 · Other
- Ruta Stiess from Wasmer SchroederJul 7, 2020 · Other
- Jeffrey M Yun from Wasmer SchroederJul 7, 2020 · Other
- Brian Edward Ferry from Wasmer SchroederJul 2, 2020 · Other
- Christopher Sheehan from Wasmer SchroederJul 1, 2020 · Other
- Wayne Henry Elmore from Wasmer SchroederJul 1, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 9 joined from Wasmer SchroederJul 2, 2020 · Naples, Fl · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Omar Aguilar Chavez · Director, Chief Executive Officer, President And Chief Investment Officercontrolsince 10/2024 · owns less than 5%
- S Patrick Cassidy · Chief Investment Officercontrolsince 11/2023 · owns less than 5%
- Patrick William Mcmahon · Chief Investment Officercontrolsince 01/2020 · owns less than 5%
- Ann Jessica Seidlitz · Chief Financial Officer And Chief Operating Officercontrolsince 09/2024 · owns less than 5%
- Daniel Michael Verdeschi · Directorcontrolsince 10/2024 · owns less than 5%
- A Richard Wurster · Directorcontrolsince 10/2021 · owns less than 5%
- Mark Hunter · Chief Compliance Officersince 12/2024 · owns less than 5%
- Margaret Catherine Macgregor · Chief Legal Officersince 03/2022 · owns less than 5%
Entity owners
- The Charles Schwab Corporation · 100% Owner Of Registrantdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- Charles Schwab & Co., Inc.broker-dealerinvestment adviserreal estatecustodiann
- Charles Schwab Bankn
- Charles Schwab Premier Bankn
- Charles Schwab Trust Bankbankn
- Charles Schwab Trust Companyn
- Schwab Wealth Advisory, Inc.investment advisern
- Td Ameritrade Clearing, Inc.broker-dealern
Advisers that list Charles Schwab Investment Management, Inc as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Francisco, Ca · principal | 23 | 1 | 0 | ||
| Naples, Fl | 9 | 0 | 0 | ||
| Boston, Ma | 7 | 1 | 0 | ||
| Lone Tree, Co | 6 | 2 | 0 | ||
| Westlake, Tx | 3 | 1 | 0 | ||
| Richfield, Oh | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lone Tree, CO136 employees
- Naples, FL26 employees
- Boston, MA20 employees
- Chicago, IL13 employees
- Westlake, TX9 employees
- Jersey City, NJ3 employees
- Cleveland, OH3 employees
- Richfield, OH1 employees
- Raleigh, NC1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 30, 2026performance-based compensation (Item 5.E.6): no on the filing of 2025-12-11, yes on the filing of 2026-03-30peers: other advisers, $20B and over (120)
- office count surgeChange between filings · filing Mar 30, 2026offices other than the principal office (Item 1.F.5) moved from 104.0 to 167.0 (+61.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was 0.0% (49 comparable advisers, 96.0th percentile of changes)peers: other advisers, $20B and over (49) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 843,555 to 856,597Dec 11, 2025 to Mar 30, 2026
- Advisory employees · 173 to 175Dec 11, 2025 to Mar 30, 2026
- BD registered reps · 158 to 138Dec 11, 2025 to Mar 30, 2026
- Charity clients · 270 to 264Dec 11, 2025 to Mar 30, 2026
- Corporate clients · 1,614 to 1,901Dec 11, 2025 to Mar 30, 2026
- HNW clients · 126,594 to 154,404Dec 11, 2025 to Mar 30, 2026
- Individual clients · 712,894 to 697,928Dec 11, 2025 to Mar 30, 2026
- Pension plan clients · 1,888 to 1,805Dec 11, 2025 to Mar 30, 2026
- Pooled vehicle clients · 161 to 166Dec 11, 2025 to Mar 30, 2026
- Assets in custody · $566M to $504MDec 11, 2025 to Mar 30, 2026
- Employees · 877 to 946Dec 11, 2025 to Mar 30, 2026
- Insurance-licensed employees · 96 to 52Dec 11, 2025 to Mar 30, 2026
- HQ city · LONE TREE to SAN FRANCISCODec 11, 2025 to Mar 30, 2026
- HQ state · CO to CADec 11, 2025 to Mar 30, 2026
- State-registered IARs · 38 to 37Dec 11, 2025 to Mar 30, 2026
- Other offices · 104 to 167Dec 11, 2025 to Mar 30, 2026
- Discretionary RAUM · $1415B to $1697BDec 11, 2025 to Mar 30, 2026
- HNW RAUM · $81B to $107BDec 11, 2025 to Mar 30, 2026
- Individual RAUM · $98B to $108BDec 11, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $22B to $24BDec 11, 2025 to Mar 30, 2026
- Pension RAUM · $1.6B to $1.7BDec 11, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $23B to $25BDec 11, 2025 to Mar 30, 2026
- RAUM · $1437B to $1721BDec 11, 2025 to Mar 30, 2026
- Wrap assets (manager) · $175B to $211BDec 11, 2025 to Mar 30, 2026
- HQ city · SAN FRANCISCO to LONE TREESep 23, 2025 to Dec 11, 2025
- HQ state · CA to COSep 23, 2025 to Dec 11, 2025
- Financial planning clients · 0 to 0Mar 27, 2025 to Sep 23, 2025
- Accounts · 304,509 to 843,555Dec 20, 2024 to Mar 27, 2025
- Advisory employees · 186 to 173Dec 20, 2024 to Mar 27, 2025
- BD registered reps · 137 to 158Dec 20, 2024 to Mar 27, 2025
- Charity clients · 289 to 270Dec 20, 2024 to Mar 27, 2025
- Corporate clients · 1,376 to 1,614Dec 20, 2024 to Mar 27, 2025
- HNW clients · 56,938 to 126,594Dec 20, 2024 to Mar 27, 2025
- Individual clients · 243,873 to 712,894Dec 20, 2024 to Mar 27, 2025
- Pension plan clients · 1,761 to 1,888Dec 20, 2024 to Mar 27, 2025
- Pooled vehicle clients · 142 to 161Dec 20, 2024 to Mar 27, 2025
- Assets in custody · $647M to $566MDec 20, 2024 to Mar 27, 2025
- Employees · 857 to 877Dec 20, 2024 to Mar 27, 2025
- Insurance-licensed employees · 85 to 96Dec 20, 2024 to Mar 27, 2025
- State-registered IARs · 47 to 38Dec 20, 2024 to Mar 27, 2025
Signals
31 dated events
- Charles Schwab Investment Management, Inc reported 167 offices beyond its principal office, up from 104 (2025-12-11 to 2026-03-30)Mar 30, 2026 · Office count change · derived
- Charles Schwab Investment Management, Inc reported RAUM $1.4T, up 31% from $1.1T (2024-12-20 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Landon Wriedt left Charles Schwab Investment Management, Inc for Voya Financial Advisors, Inc. (registered 2026-01-23)Dec 2, 2024 · Advisor changed firm · fact
- 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)Oct 4, 2024 · Control person left · inference
- Brooks Peter Crawford (Director) no longer on Schedule A of Charles Schwab Investment Management, Inc (listed 2024-09-24, absent 2024-10-04)Oct 4, 2024 · Control person left · inference
- Daniel Michael Verdeschi (Director) appeared on Schedule A of Charles Schwab Investment Management, IncOct 4, 2024 · Control person joined · fact
- David Alexander Poole left Charles Schwab Investment Management, Inc for Verity Investment Partners (registered 2024-09-26)Apr 25, 2024 · Advisor changed firm · fact
- Charles Schwab Investment Management, Inc reported 107 offices beyond its principal office, down from 158 (2023-11-02 to 2024-03-29)Mar 29, 2024 · Office count change · derived
- Charles Schwab Investment Management, Inc reported RAUM $1.1T, up 40% from $782.6B (2023-11-02 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Connor Francis Murphy left Charles Schwab Investment Management, Inc for Cachetech (registered 2024-03-26)Feb 6, 2024 · Advisor changed firm · fact
- Cory M Shapira left Charles Schwab Investment Management, Inc for Osaic Institutions, Inc. (registered 2024-07-03)Jan 16, 2024 · Advisor changed firm · fact
- Rayvon Solomon left Charles Schwab Investment Management, Inc for Ameriprise Financial Services, Llc (registered 2024-04-22)Jan 9, 2024 · Advisor changed firm · fact
- 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)Nov 2, 2023 · Control person left · inference
- S Patrick Cassidy (Chief Investment Officer) appeared on Schedule A of Charles Schwab Investment Management, IncNov 2, 2023 · Control person joined · fact
- 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)Nov 2, 2023 · Control person left · inference
- Charles Schwab Investment Management, Inc reported 158 offices beyond its principal office, up from 56 (2022-09-21 to 2023-03-30)Mar 30, 2023 · Office count change · derived
- Justin Stewart Land left Charles Schwab Investment Management, Inc for Bcm Capital Management Llc (registered 2025-09-04)Nov 21, 2022 · Advisor changed firm · fact
- Brandon J Cromer left Charles Schwab Investment Management, Inc for Ashton Thomas Securities, Llc (registered 2024-10-23)Oct 19, 2022 · Advisor changed firm · fact
- Charles Schwab Investment Management, Inc reported 44 state-registered advisory representatives, up from 34 (2022-03-07 to 2022-03-30)Mar 30, 2022 · Advisor headcount change · derived
- Charles Schwab Investment Management, Inc reported 56 offices beyond its principal office, up from 18 (2022-03-07 to 2022-03-30)Mar 30, 2022 · Office count change · derived
- William Walter Bettinger (Director) no longer on Schedule A of Charles Schwab Investment Management, Inc (listed 2021-09-20, absent 2021-10-26)Oct 26, 2021 · Control person left · inference
- Charles Schwab Investment Management, Inc reported 18 offices beyond its principal office, up from 4 (2021-01-11 to 2021-03-30)Mar 30, 2021 · Office count change · derived
- Charles Schwab Investment Management, Inc reported 34 state-registered advisory representatives, up from 0 (2021-01-11 to 2021-03-30)Mar 30, 2021 · Advisor headcount change · derived
- 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)Jan 11, 2021 · Control person left · inference
- 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)Mar 27, 2020 · Control person left · inference
- Charles Schwab Investment Management, Inc reported RAUM $506.3B, up 33% from $379.3B (2019-11-01 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Larry Bryan Olson (Svp, Chief Operating Officer) appeared on Schedule A of Charles Schwab Investment Management, IncMar 27, 2020 · Control person joined · fact
- Dickhut Mark Fischer (Vp, Chief Financial Officer) appeared on Schedule A of Charles Schwab Investment Management, IncMar 27, 2020 · Control person joined · fact
- Patrick William Mcmahon (Svp And Chief Investment Officer) appeared on Schedule A of Charles Schwab Investment Management, IncMar 27, 2020 · Control person joined · fact
- A Richard Wurster (Chief Executive Officer) appeared on Schedule A of Charles Schwab Investment Management, IncNov 1, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/windhaven-investment-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- schwabfunds.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 800-650-9744reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $47Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026