Hedge Fund Database

CHARLES SCHWAB & CO., INC.

Adviser information for CHARLES SCHWAB & CO., INC. last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location California, United States

Employees

Total Number of Employees 29350
Investment Advisory/Research 3564
Registered Broker-Dealer Representatives 15186
Registered State Investment Advisers 3564
Licensed Agents of an Insurance Company 2919
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios No

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 919128
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 35500

Services

Advisory Services Financial planningSelection of other advisers (including private fund managers)WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM
Compensation Fixed feesASSET BASED FEES FOR WRAP PGRMS & SUBSC PRICING FOR FIN PLANNING
Other Business Activities Broker-dealerInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 0

Identifiers

SEC RIA File Number 801-29938
SEC ERA File Number 801-29938
SEC CIK Numbers 87634, 751448, 1303982
SEC CRD Numbers 5393
Legal Entity Identifier 549300ZP8XN77GK5BS04

Principal Office

211 MAIN STREET
SAN FRANCISCO
CA
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 415-667-7000, Fax: 415-667-0170

Websites

www.schwab.com www.youtube.com/@charlesschwab www.linkedin.com/company/charles-schwab www.linkedin.com/showcase/schwab-stock-plan-services twitter.com/charlesschwab www.facebook.com/charlesschwab/ www.linkedin.com/company/schwab-retirement-services welcome.schwab.com twitter.com/schwabresearch www.schwab.com/intellligent-portfolios twitter.com/schwab4rias www.linkedin.com/company/schwab-advisor-services www.instagram.com/charlesschwab twitter.com/schwabtrading

Chief Compliance Officer

CHAD NICHOLS
MANAGING DIRECTOR, INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER
9800 SCHWAB WAY
DENR3-05-184
LONE TREE
CO
United States
Tel: 720-418-3681
Fax: 720-418-6584
(Full email address available in API data)

Regulatory Contact

SASHA FOROSTENKO
MANAGING DIRECTOR
1133 AVENUE OF THE AMERICAS
NEW YORK
NY
United States
Tel: 212-403-9212
(Full email address available in API data)

Industry Affiliates

CHARLES SCHWAB BANK, SSB Banking or thrift institution
CHARLES SCHWAB FUTURES AND FOREX LLC Futures commission merchant
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
CHARLES SCHWAB PREMIER BANK, SSB Banking or thrift institution
CHARLES SCHWAB TRUST BANK Commodity pool operator or commodity trading advisorBanking or thrift institution
CHARLES SCHWAB TRUST COMPANY Trust company
CHARLES SCHWAB TRUST COMPANY OF DELAWARE Trust company
CHARLES SCHWAB, HONG KONG, LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CHARLES SCHWAB, U.K., LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealer
SCHWAB WEALTH ADVISORY, INC. Other investment adviser, including financial planners
TD AMERITRADE CLEARING, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
TD AMERITRADE, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
SCHWAB HOLDINGS, INC. Domestic Entity – 100% OWNER 01/1983 > 75%
THE CHARLES SCHWAB CORPORATION Domestic Entity SCHWAB HOLDINGS, INC. SHAREHOLDER 03/1987 > 75%
ARMELI, BARBARA JEAN Individual – MANAGING DIRECTOR AND BROKER DEALER CHIEF COMPLIANCE OFFICER 02/2018 < 5%
CRAWFORD, PETER BROOKS Individual – MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER 05/2017 < 5%
HOWARD, DENNIS WILLARD Individual – MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER 05/2017 < 5%
STARR, JEFFREY HAROLD Individual – MANAGING DIRECTOR, OPERATIONAL SERVICES 01/2020 < 5%
WURSTER, RICHARD A Individual – PRESIDENT 10/2021 < 5%
NICHOLS, CHARLES Individual – MANAGING DIRECTOR AND INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER 07/2023 < 5%

No. Employees, Historic

30,00015,0000201920202021202220232024202516709 on 8/26/201916709 on 8/29/201916709 on 9/30/201916709 on 10/17/201916709 on 11/14/201916709 on 12/23/201916709 on 12/26/201916709 on 2/11/202017325 on 3/27/202017325 on 3/31/202017325 on 4/22/202017325 on 5/22/202017325 on 6/23/202017325 on 6/29/202017325 on 8/1/202017325 on 8/6/202017325 on 10/30/202017325 on 1/2/202117325 on 1/4/202119268 on 3/31/202119268 on 4/30/202119268 on 6/24/202119268 on 6/29/202119268 on 9/20/202119268 on 10/19/202119268 on 10/21/202119268 on 12/6/202119268 on 12/17/202119268 on 1/26/202222914 on 3/30/202222914 on 6/29/202222914 on 7/13/202222914 on 9/21/202222914 on 9/22/202222914 on 9/29/202226596 on 3/31/202326596 on 5/3/202326596 on 5/23/202326596 on 8/11/202326596 on 10/6/202326596 on 10/31/202329350 on 3/29/2024