0001085146-13-000415.txt : 20130213 0001085146-13-000415.hdr.sgml : 20130213 20130212214856 ACCESSION NUMBER: 0001085146-13-000415 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130213 DATE AS OF CHANGE: 20130212 EFFECTIVENESS DATE: 20130213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Charles Schwab Investment Advisory, Inc. CENTRAL INDEX KEY: 0001501902 IRS NUMBER: 271073440 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14153 FILM NUMBER: 13599355 BUSINESS ADDRESS: STREET 1: 211 MAIN ST. CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 415-667-0897 MAIL ADDRESS: STREET 1: 211 MAIN ST. CITY: SAN FRANCISCO STATE: CA ZIP: 94105 13F-HR 1 schwabadvisory4q2012.txt CHARLES SCHWAB INVESTMENT ADVISORY, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2012 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Charles Schwab Investment Advisory, Inc. Address: 211 Main Street San Francisco, CA 94105 13F File Number: 028-14153 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: James Peterson Title: Chief Investment Officer, CSIA Phone: 415-667-0879 Signature, Place, and Date of Signing: /s/ James Peterson San Francisco, CA February 08, 2013 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 39 Form 13F Information Table Value Total: $2,165,420 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- CLAYMORE EXCHANGE TRD FD TR GUGG CHN SML CAP 18383Q853 48742 2031750 SH SOLE 2031750 0 0 ISHARES TR BARCLYS TIPS BD 464287176 28456 234381 SH SOLE 234381 0 0 ISHARES TR MSCI EMERG MKT 464287234 36072 813345 SH SOLE 813345 0 0 ISHARES TR BARCLYS 7-10 YR 464287440 39308 365693 SH SOLE 365693 0 0 ISHARES TR MSCI EAFE INDEX 464287465 210241 3697512 SH SOLE 3697512 0 0 ISHARES TR RUSSELL 1000 464287622 230045 2906440 SH SOLE 2906440 0 0 ISHARES TR RUSL 2000 GROW 464287648 277 2905 SH SOLE 2905 0 0 ISHARES TR RUSSELL 2000 464287655 44080 522787 SH SOLE 522787 0 0 ISHARES TR AGENCY BD FD 464288166 1341 11835 SH SOLE 11835 0 0 ISHARES TR MSCI SMALL CAP 464288273 43562 1070052 SH SOLE 1070052 0 0 ISHARES TR BARCLYS MBS BD 464288588 354134 3279326 SH SOLE 3279326 0 0 ISHARES TR BARCLYS CR BD 464288620 116818 1032323 SH SOLE 1032323 0 0 ISHARES TR BARCLYS INTER CR 464288638 47592 427644 SH SOLE 427644 0 0 ISHARES TR BARCLYS 3-7 YR 464288661 46527 377596 SH SOLE 377596 0 0 ISHARES TR RSSL MCRCP IDX 464288869 25776 492665 SH SOLE 492665 0 0 MARKET VECTORS ETF TR MKTVEC INTMUETF 57060U845 505 21368 SH SOLE 21368 0 0 POWERSHS DB MULTI SECT COMM PS DB AGRICUL FD 73936B408 29673 1061633 SH SOLE 1061633 0 0 POWERSHS DB MULTI SECT COMM DB OIL FUND 73936B507 101045 3895354 SH SOLE 3895354 0 0 POWERSHS DB MULTI SECT COMM DB BASE METALS 73936B705 18520 960644 SH SOLE 960644 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 161399 4761033 SH SOLE 4761033 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 30774 807280 SH SOLE 807280 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 24602 932233 SH SOLE 932233 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 25540 901186 SH SOLE 901186 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 143980 5310944 SH SOLE 5310944 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 24755 807974 SH SOLE 807974 0 0 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 31859 589108 SH SOLE 589108 0 0 SCHWAB STRATEGIC TR US TIPS ETF 808524870 23124 396635 SH SOLE 396635 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 31032 1147214 SH SOLE 1147214 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 44196 618815 SH SOLE 618815 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 18277 112805 SH SOLE 112805 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 38911 955808 SH SOLE 955808 0 0 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 28803 1184833 SH SOLE 1184833 0 0 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 40877 670003 SH SOLE 670003 0 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 34664 475040 SH SOLE 475040 0 0 VANGUARD INDEX FDS REIT ETF 922908553 507 7711 SH SOLE 7711 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 261 3665 SH SOLE 3665 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 217 3692 SH SOLE 3692 0 0 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 263 3923 SH SOLE 3923 0 0 WISDOMTREE TRUST DIV EX-FINL FD 97717W406 38665 695668 SH SOLE 695668 0 0