Charles Schwab Investment Management, Inc
SEC-registered
Mutual Fund / Asset Manager · Mega ($100B+)
CRD 106753
· SEC file 801-35905
· San Francisco, CA
· www.thomaspartnersinvestmentmanagement.com
☆ Save with Pro
ADV data as of Mar 30, 2026
- Regulatory AUM
- $1.7T
- Discretionary
- $1.7T
- Clients
- 856,597
- Avg AUM / client
- $2.0M
- Accounts
- 856,597
- Employees
- 946
AUM over time
$215B
$1.7T
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Asset allocation (SMA assets by investment type)
as of Mar 30, 2026
Registered investment companies (funds/ETFs)
$1.1T
63%
Exchange-traded equities
$258B
15%
State & local bonds
$172B
10%
Cash & equivalents
$103B
6%
Investment-grade corporate bonds
$68.8B
4%
Non-exchange-traded equities
$17.2B
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Investments (13F portfolio — 3,455 positions, $654,472,719,006)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Nvidia Corporation | COM | $28,041,581,093 | 160,788,892 | 4.28% | 1.63% |
| 2 | Apple Inc | COM | $25,974,085,067 | 102,344,793 | 3.97% | 1.51% |
| 3 | Microsoft Corp | COM | $19,440,982,518 | 52,519,324 | 2.97% | 1.13% |
| 4 | Amazon Com Inc | COM | $13,870,358,587 | 66,597,967 | 2.12% | 0.81% |
| 5 | Alphabet Inc | CAP STK CL A | $11,766,659,319 | 40,918,971 | 1.8% | 0.68% |
| 6 | Schwab Strategic Tr | FUNDAMENTAL US L | $11,680,920,022 | 419,422,622 | 1.78% | 0.68% |
| 7 | Broadcom Inc | COM | $10,432,155,121 | 33,710,329 | 1.59% | 0.61% |
| 8 | Alphabet Inc | CAP STK CL C | $9,300,621,678 | 32,422,163 | 1.42% | 0.54% |
| 9 | Meta Platforms Inc | CL A | $8,813,508,400 | 15,403,780 | 1.35% | 0.51% |
| 10 | Chevron Corporation | COM | $7,471,199,394 | 36,118,480 | 1.14% | 0.43% |
| 11 | Tesla Inc | COM | $7,414,046,312 | 19,943,635 | 1.13% | 0.43% |
| 12 | Schwab Strategic Tr | FUNDAMENTAL INTL | $6,998,525,179 | 143,031,375 | 1.07% | 0.41% |
| 13 | Schwab Strategic Tr | INT-TRM U.S TRES | $6,216,197,362 | 249,546,261 | 0.95% | 0.36% |
| 14 | Schwab Strategic Tr | MORTGAGE BACKED | $5,998,456,691 | 234,773,256 | 0.92% | 0.35% |
| 15 | Merck & Co Inc | COM | $5,986,904,095 | 49,765,225 | 0.91% | 0.35% |
| 16 | Procter & Gamble Co | COM | $5,978,000,518 | 41,360,143 | 0.91% | 0.35% |
| 17 | Schwab Strategic Tr | FUNDAMENTAL US S | $5,812,811,315 | 179,241,792 | 0.89% | 0.34% |
| 18 | Coca Cola Co | COM | $5,807,432,226 | 76,339,039 | 0.89% | 0.34% |
| 19 | Exxon Mobil Corp | COM | $5,805,945,923 | 34,236,797 | 0.89% | 0.34% |
| 20 | Verizon Communications Inc | COM | $5,669,498,688 | 112,936,510 | 0.87% | 0.33% |
| 21 | Unitedhealth Group Inc | COM | $5,633,029,995 | 20,817,755 | 0.86% | 0.33% |
| 22 | Home Depot Inc | COM | $5,621,377,192 | 17,085,966 | 0.86% | 0.33% |
| 23 | Jpmorgan Chase & Co | COM | $5,616,841,414 | 19,101,113 | 0.86% | 0.33% |
| 24 | Berkshire Hathaway Inc Del | CL B NEW | $5,454,153,289 | 11,381,789 | 0.83% | 0.32% |
| 25 | Eli Lilly & Co | COM | $5,424,297,587 | 5,897,450 | 0.83% | 0.32% |
Top 25 of 3,455 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 697,928 | $108B | 6.3% |
| High net worth individuals | 154,404 | $107B | 6.21% |
| Investment companies | 109 | $1.5T | 85.6% |
| Pooled investment vehicles (non-investment companies) | 166 | $24.7B | 1.43% |
| Pension and profit sharing plans | 1,805 | $1.7B | 0.1% |
| Charitable organizations | 264 | $758M | 0.04% |
| State or municipal government entities | 10 | $239M | 0.01% |
| Insurance companies | 10 | $420M | 0.02% |
| Corporations and other businesses | 1,901 | $4.0B | 0.24% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Centre For Neuro Skills 401(k) Retirement Plan Centre For Neuro Skills | 2024 | |
| Advanced Radiology Services Cash Balance Plan Advanced Radiology Services, P.C. | 2024 | |
| Anders Minkler Huber & Helm Llp 401(k) Savings Plan Anders Minkler Huber & Helm Llp | 2024 | |
| Urology Clinics Of North Texas, Pllc 401(k) Profit Sharing Plan Urology Clinics Of North Texas, Pllc | 2024 | |
| Stewart & Tate Employees Profit Sharing Plan Stewart & Tate, Inc. | 2024 | |
| York Building Products Co. Inc. Profit Sharing Plan And Trust York Building Products Co., Inc. | 2024 | |
| Berliner Cohen Retirement Plan Berliner Cohen, Llp | 2024 |
People (44)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| William Patrick Mcmahon | Chief Investment Officer | CFA | Jan 2020 (7y) | Less than 5% |
| Richard Andrew Wurster | Director | Oct 2021 (5y) | Less than 5% | |
| Macgregor, Catherine, Margaret | Chief Legal Officer | Mar 2022 (4y) | Less than 5% | |
| Cassidy, Patrick, S | Chief Investment Officer | Nov 2023 (3y) | Less than 5% | |
| Seidlitz, Jessica, Ann | Chief Financial Officer And Chief Operating Officer | Sep 2024 (2y) | Less than 5% | |
| Aguilar Chavez, Omar | Director, Chief Executive Officer, President And Chief Investment Officer | Oct 2024 (2y) | Less than 5% | |
| Verdeschi, Michael Daniel | Director | Oct 2024 (2y) | Less than 5% | |
| Hunter, Mark | Chief Compliance Officer | Dec 2024 (2y) | Less than 5% | |
| Christopher Sheehan | Registered representative | Jul 2020 (6y) | ||
| Brian Edward Ferry | Registered representative | CFA | Jul 2020 (6y) | |
| Brian M Dixon | Registered representative | CFA | Jul 2020 (6y) | |
| Jason Duane Diefenthaler | Registered representative | Jul 2020 (6y) | ||
| Jeffrey M Yun | Registered representative | Jul 2020 (6y) | ||
| Ruta Stiess | Registered representative | CFA | Jul 2020 (6y) | |
| Jamie L Peek | Registered representative | Jul 2020 (6y) | ||
| Daniel W Griffith | Registered representative | Jul 2020 (6y) | ||
| Mathew Todd Petty | Registered representative | CFA | Sep 2020 (6y) | |
| Michael Anthony Morin | Registered representative | Sep 2020 (6y) | ||
| Nicole Eileen Calabrese | Registered representative | Sep 2020 (6y) | ||
| Tess Montague Papazian | Registered representative | Sep 2020 (6y) | ||
| James Allan Serhant | Registered representative | CFA | Oct 2020 (6y) | |
| Matthew Michael Gugliemini | Registered representative | CFA | Oct 2020 (6y) | |
| Matthew Joseph Kuss | Registered representative | Nov 2020 (6y) | ||
| Kelly Johnson | Registered representative | CFA | Jan 2021 (6y) | |
| Trevor P Durham | Registered representative | Apr 2022 (4y) | ||
| Jesse A Renda | Registered representative | May 2022 (4y) | ||
| Nicholas J Rubino | Registered representative | Dec 2022 (4y) | ||
| Viraj Desai | Registered representative | CFA | Dec 2022 (4y) | |
| Nicholas E Glenn | Registered representative | Jan 2023 (4y) | ||
| Sam Griffin Lashin | Registered representative | Jan 2023 (4y) | ||
| James Earl Staten | Registered representative | CFP | Mar 2023 (3y) | |
| Connor Lee Jacobs | Registered representative | CFA | Jun 2023 (3y) | |
| Tamu Elaine Dawson | Registered representative | Dec 2023 (3y) | ||
| Russell Paul Ow | Registered representative | CFA | Mar 2024 (2y) | |
| Elvis Zhisney Zuniga | Registered representative | Jun 2024 (2y) | ||
| John Anthony Hayek | Registered representative | Sep 2024 (2y) | ||
| Sarjoo Narendra Patel | Registered representative | CFP | Jan 2025 (2y) | |
| Kevin A Boorman | Registered representative | May 2025 (1y) | ||
| Wendy Ambrosius Grall | Registered representative | Sep 2025 (1y) | ||
| Maximillian Breier | Registered representative | Sep 2025 (1y) | ||
| Adam Germaine | Registered representative | Oct 2025 (1y) | ||
| Cindy Lopez | Registered representative | May 2026 (0y) | ||
| Michal Ryszard Bartkiewicz | Registered representative | CFP | Jun 2026 (0y) | |
| Matthew Richard Schooley | Registered representative | CFA | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| The Charles Schwab Corporation | 100% Owner Of Registrant | Oct 1989 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (7)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Centre For Neuro Skills 401(k) Retirement Plan | Centre For Neuro Skills | 986 | $55.4M | 01/01/2024 |
| Advanced Radiology Services Cash Balance Plan | Advanced Radiology Services, P.C. | 130 | $18.0M | 01/01/2024 |
| Anders Minkler Huber & Helm Llp 401(k) Savings Plan | Anders Minkler Huber & Helm Llp | 399 | $54.5M | 01/01/2024 |
| Urology Clinics Of North Texas, Pllc 401(k) Profit Sharing Plan | Urology Clinics Of North Texas, Pllc | 358 | $71.5M | 01/01/2024 |
| Stewart & Tate Employees Profit Sharing Plan | Stewart & Tate, Inc. | 175 | $27.9M | 01/01/2024 |
| York Building Products Co. Inc. Profit Sharing Plan And Trust | York Building Products Co., Inc. | 420 | $101M | 01/01/2024 |
| Berliner Cohen Retirement Plan | Berliner Cohen, Llp | 107 | $54.1M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.84 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.D(2)
as of Dec 20, 2024
Allegations: NOTIFICATION THAT CHARLES SCHWAB INVESTMENT MANAGEMENT, INC.'S ("CSIM") HOLDINGS EXCEEDED 5% OF THE SHARE CAPITAL OF THE NORWEGIAN TRADED COMPANY SEADRILL LIMITED (SDRL) WAS SUBMITTED LATE. NOTIFICATION THAT CSIM'S HOLDINGS WENT BELOW 5% OF THE SHARE CAPITAL OF THE NORWEGIAN TRADED COMPANY SEADRILL LIMITED (SDRL) ALSO WAS SUBMITTED LATE. Status: Final Sanction Detail: VIOLATION PENALTY OF 150,000 NOK IMPOSED. Summary: VIOLATION CHARGE INCURRED DUE TO LATE DISCLOSURE NOTIFICATIONS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
- • Other fees
- • COSTS
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $223B (13% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗