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.

Former SEC-registered adviser

Schwab Wealth Investment Advisory, Inc.

Former SEC-registered adviserSan Francisco, CaliforniaCRD 173455SEC 801-80497IAPD
Latest filing Jan 2, 2018
First filing on the tape Oct 15, 2014 · 9 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)13 as of Mar 30, 2017
Mar 30, 201520 then
Employees (5.A)13 as of Mar 30, 2017
Mar 30, 201520 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 20 to 13
Practice profile
derived from the filing of Jan 2, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
6.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-35%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Teams: two or more advisors moving together within fourteen days, from one state
        Teams outTeams in
        Private funds
        No private fund reported.
        Owners and control persons
        Schedule A and B, latest filing
        • Pearcy Alison Dooher · Chief Operating Officercontrol
          since 03/2016 · owns less than 5%
        • L Tobin Mcdaniel · Presidentcontrol
          since 03/2015 · owns less than 5%
        • Marie-Laure Marlene Bates · Chief Financial Officer
          since 12/2015 · owns less than 5%
        • Roger Philip Martin · Chief Compliance Officer
          since 01/2015 · owns less than 5%
        Entity owners
        • Schwab Holdings · 100% Owner
          direct · owns 75% or more
        • The Charles Schwab Corporation · Shareholder
          indirect · owns 75% or more of Schwab Holdings, Inc. · public reporting company
        Related persons
        Schedule D 7.A
        Advisers that list Schwab Wealth Investment Advisory, Inc. as a related person
        Offices
        Schedule D 1.F, the 25 largest
        • Lone Tree, CO1 employees
        What changed
        consecutive filings, newest first
        • Other offices · unset to 1.0
          Jul 18, 2017 to Jan 2, 2018
        • Wrap assets (manager) · unset to 0.0
          Jul 18, 2017 to Jan 2, 2018
        • Wrap assets (sponsor) · unset to 0.0
          Jul 18, 2017 to Jan 2, 2018
        • Advisory employees · 20 to 5
          Mar 29, 2016 to Mar 30, 2017
        • BD registered reps · 1 to 11
          Mar 29, 2016 to Mar 30, 2017
        • Employees · 20 to 13
          Mar 29, 2016 to Mar 30, 2017
        • State-registered IARs · 20 to 13
          Mar 29, 2016 to Mar 30, 2017
        • Related bank · false to true
          Jun 19, 2015 to Mar 29, 2016
        • BD registered reps · 0 to 1
          Feb 20, 2015 to Mar 30, 2015
        Signals
        1 dated events
        • Schwab Wealth Investment Advisory, Inc. filed its initial SEC registration (Form ADV)
          Oct 15, 2014 · First SEC registration · fact
        Across DFX
        shared identifiers only, never a name match
        No identifier-backed link to the venture, private equity, family office or sponsor graphs.
        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
        Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
        RAUM per advisor
        n/aderivedfirm RAUM over the IAPD count; not a book size
        Loaded
        Sep 14, 2026