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Charles Schwab Investment Advisory
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Last updated: January 21st, 2020. Data source: SEC filings.
Charles Schwab Investment Advisory, federally registered in 2009, is a Registered Investment Advisor (RIA) in 50 state(s) with a licensed staff of 54 advisors. Charles Schwab Investment Advisory manages $70.6 billion and provides investment advisory services for 403,292 clients (1:7469 advisor/client ratio). This firm does not have a disciplinary history.
Benefits
info_outline- Firm does not have any felony convictions.
- Firm uses a transparent fee-only model.
- Firm has been federally registered for 10 years.
- Firm has $1B or more in assets under management.
- The firm's website is secure.
- Firm does not have any misdemeanor convictions.
- Firm does not have a 12b-1 conflict.
- Firm does not have an attorney conflict.
- Firm does not accept performance-based fees.
- Firm does not perform side-by-side management.
- Firm does not receive soft dollar benefits.
- Firm provides mobile-friendly experience for their clients.
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Considerations
info_outline- Firm is a broker-dealer, or is affiliated with one, and may be subject to compensation-related conflicts of interest.
- Firm is affiliated with an insurance company or agent who could be motivated to insure clients with products that generate high sales commissions when lower cost alternatives may exist.
- Firm or a related person serves as an underwriter or general or managing partner of some of the products they recommend and may be incentivized to sell those products over others to their investors.
- The firm, or a related person, trade securities for themselves that they also recommend to their clients.
- Firm may recommend proprietary investments and products that could generate larger commissions than other similar non-proprietary products.
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Firm Information
| Feature | Value |
| Rank (United States) | Not Ranked |
| Advisors Directory | View Directory |
| Avg Advisor Years Registered | 2 |
| Percentage of Advisors Trusted | 79% |
| Minimum Investment | $25,000 |
| Average Client Balance | $175,031 |
| Total AUM | $70.6 billion |
| Advisor / Client Ratio | 1:7469 |
| Headquarters | San Francisco, CA |
| SEC Filings | Forms and Brochures (CRD # 151739) |
| State(s) Registered | AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VT, VI, VA, WA, WV, WI, WY |
Questions & Answers
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Ask a question question_answer
Daniel E wrote: What are your typical management fees to manage about 600000 to 700000 IRA account?
1 year ago
Response from Jessica H at Investor.com
Schwab offers several investment advice options with varying fee structures. To determine the management fee you would pay, it would be best to contact one of their advisors and review your needs to see which option is best for you.
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