0001085146-19-001875.txt : 20190712 0001085146-19-001875.hdr.sgml : 20190712 20190712172516 ACCESSION NUMBER: 0001085146-19-001875 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20190712 DATE AS OF CHANGE: 20190712 EFFECTIVENESS DATE: 20190712 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Charles Schwab Investment Advisory, Inc. CENTRAL INDEX KEY: 0001501902 IRS NUMBER: 271073440 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-14153 FILM NUMBER: 19953637 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/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001501902 XXXXXXXX 06-30-2018 06-30-2018 true 1 RESTATEMENT false Charles Schwab Investment Advisory, Inc.

211 MAIN ST. SAN FRANCISCO CA 94105

13F HOLDINGS REPORT 028-14153 N Denise Kampf 415-667-1910 /s/ Denise Kampf Boston MA 07-02-2019 0 164 54589755 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 213286 1084213 SH SOLE 926928 0 157286 ABBOTT LABS COM 002824100 275697 4520366 SH SOLE 3880658 0 639708 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 270434 1653120 SH SOLE 1438767 0 214353 ALPS ETF TR ALERIAN MLP 00162Q866 374518 37081008 SH SOLE 35475780 0 1605228 ALTRIA GROUP INC COM 02209S103 178215 3138146 SH SOLE 2819634 0 318512 APPLE INC COM 037833100 191329 1033594 SH SOLE 805256 0 228338 AT&T INC COM 00206R102 321448 10010841 SH SOLE 8932394 0 1078447 BB&T CORP COM 054937107 346422 6868000 SH SOLE 5938461 0 929539 BCE INC COM NEW 05534B760 273156 6746251 SH SOLE 5994653 0 751598 BECTON DICKINSON & CO COM 075887109 291167 1215426 SH SOLE 1019100 0 196326 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 9130 180969 SH SOLE 29161 0 151808 CHEVRON CORP NEW COM 166764100 413622 3271548 SH SOLE 2920733 0 350815 CISCO SYS INC COM 17275R102 279790 6502201 SH SOLE 5468463 0 1033737 COCA COLA CO COM 191216100 206654 4711656 SH SOLE 4098169 0 613487 COLGATE PALMOLIVE CO COM 194162103 173852 2682485 SH SOLE 2417426 0 265059 CVS HEALTH CORP COM 126650100 190701 2963499 SH SOLE 2592919 0 370580 DBX ETF TR XTRACK MSCI EAFE 233051630 181515 7760095 SH SOLE 7760095 0 0 DBX ETF TR XTRACK USD HIGH 233051432 871880 17753623 SH SOLE 17752060 0 1563 DEERE & CO COM 244199105 138797 992825 SH SOLE 824671 0 168154 DIAGEO P L C SPON ADR NEW 25243Q205 301365 2092668 SH SOLE 1847923 0 244745 DIREXION SHS ETF TR ZACKS MLP HG INC 25459Y298 1606 108113 SH SOLE 108113 0 0 ENERGY TRANSFER PARTNERS LP UNIT LTD PRT INT 29278N103 5895 309613 SH SOLE 63619 0 245994 ENTERPRISE PRODS PARTNERS L COM 293792107 32407 1171178 SH SOLE 634311 0 536867 ETFS PRECIOUS METALS BASKET PHYS PM BSKT 26922W109 13937 226469 SH SOLE 226469 0 0 EVERSOURCE ENERGY COM 30040W108 268926 4588398 SH SOLE 4069457 0 518941 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 171908 4297689 SH SOLE 4297689 0 0 EXXON MOBIL CORP COM 30231g102 394412 4767475 SH SOLE 4292655 0 474820 FIDELITY MSCI CONSM DIS 316092204 126396 2950437 SH SOLE 2950437 0 0 FIDELITY MSCI FINLS IDX 316092501 114620 2923979 SH SOLE 2923979 0 0 FIDELITY MSCI HLTH CARE I 316092600 113259 2742346 SH SOLE 2742346 0 0 FIDELITY MSCI INDL INDX 316092709 31837 858595 SH SOLE 858595 0 0 FIDELITY MSCI INFO TECH I 316092808 173149 3132764 SH SOLE 3132764 0 0 FIRST TR EXCHANGE TRADED FD NO AMER ENERGY 33738D101 914 39350 SH SOLE 32575 0 6775 FLEXSHARES TR IBOXX 5YR TRGT 33939L605 202600 8205731 SH SOLE 8205731 0 0 GALLAGHER ARTHUR J & CO COM 363576109 240671 3686757 SH SOLE 3209038 0 477719 GENUINE PARTS CO COM 372460105 205387 2237575 SH SOLE 1899581 0 337995 GLOBAL X FDS GLBL X MLP ETF 37950E473 39472 4309164 SH SOLE 4309164 0 0 GLOBAL X FDS US PFD ETF 37954Y657 80006 3278782 SH SOLE 3278782 0 0 INTEL CORP COM 458140100 204242 4108670 SH SOLE 3295545 0 813125 INTERNATIONAL BUSINESS MACHS COM 459200101 327722 2345897 SH SOLE 2105600 0 240298 INVESCO ACTIVELY MANAGD ETF OPTIMUM YIELD 46090F100 131995 7150371 SH SOLE 7150371 0 0 INVESCO EXCHANGE TRADED FD T DIVID ACHIEVEV 46137V506 1787 69628 SH SOLE 15352 0 54276 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 194354 1726053 SH SOLE 1726053 0 0 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1500 46137V597 68258 490502 SH SOLE 490502 0 0 INVESCO EXCHNG TRADED FD TR CALIF AMT MUN 46138E206 103789 4013489 SH SOLE 4013489 0 0 INVESCO EXCHNG TRADED FD TR FTSE RAFI DEV 46138E743 84334 1961712 SH SOLE 1961712 0 0 INVESCO EXCHNG TRADED FD TR FTSE RAFI EMNG 46138E727 66342 3209590 SH SOLE 3209590 0 0 INVESCO EXCHNG TRADED FD TR FTSE RAFI SML 46138E735 32719 987594 SH SOLE 987593 0 1 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 222934 4702245 SH SOLE 4605847 0 96398 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 329591 14392586 SH SOLE 14392586 0 0 INVESCO EXCHNG TRADED FD TR VAR RATE PFD 46138G870 315431 12693368 SH SOLE 12564199 0 129169 INVESCO QQQ TR UNIT SER 1 46090E103 434551 2531608 SH SOLE 2481817 0 49791 ISHARES GOLD TRUST ISHARES 464285105 714701 59459285 SH SOLE 59202241 0 257044 ISHARES INC CORE MSCI EMKT 46434G103 30149 574145 SH SOLE 574145 0 0 ISHARES INC MSCI HONG KG ETF 464286871 220178 9094524 SH SOLE 8923461 0 171063 ISHARES TR 0-5 YR TIPS ETF 46429B747 1290 12935 SH SOLE 12935 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 3378 72441 SH SOLE 72441 0 0 ISHARES TR 20 YR TR BD ETF 464287432 147967 1215638 SH SOLE 1193875 0 21763 ISHARES TR 3 7 YR TREAS BD 464288661 8028 66906 SH SOLE 66066 0 840 ISHARES TR AGENCY BOND ETF 464288166 60101 539413 SH SOLE 539413 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 69898 681863 SH SOLE 677255 0 4608 ISHARES TR BROAD USD HIGH 46435U853 15897 327768 SH SOLE 327768 0 0 ISHARES TR CALIF MUN BD ETF 464288356 172990 2955074 SH SOLE 2955074 0 0 ISHARES TR CMBS ETF 46429B366 28654 571957 SH SOLE 571957 0 0 ISHARES TR CORE 1 5 YR USD 46432F859 464026 9454483 SH SOLE 9283992 0 170491 ISHARES TR CORE INTL AGGR 46435G672 1475 27997 SH SOLE 27997 0 0 ISHARES TR CORE S&P SCP ETF 464287804 234701 2812128 SH SOLE 2759182 0 52946 ISHARES TR CORE US AGGBD ET 464287226 328513 3089858 SH SOLE 3021438 0 68420 ISHARES TR CRE U S REIT ETF 464288521 6568 133631 SH SOLE 133631 0 0 ISHARES TR IBOXX HI YD ETF 464288513 119275 1401920 SH SOLE 1365401 0 36519 ISHARES TR IBOXX INV CP ETF 464287242 80667 704090 SH SOLE 699426 0 4664 ISHARES TR INTL DEV RE ETF 464288489 2074 71056 SH SOLE 71055 0 1 ISHARES TR INTRM GOV CR ETF 464288612 2957 27440 SH SOLE 5401 0 22039 ISHARES TR INTRM TR CRP ETF 464288638 4748 44691 SH SOLE 7914 0 36777 ISHARES TR JPMORGAN USD EMG 464288281 132195 1238127 SH SOLE 1211169 0 26958 ISHARES TR MBS ETF 464288588 262293 2517693 SH SOLE 2512728 0 4965 ISHARES TR MIN VOL EAFE ETF 46429B689 150747 2119019 SH SOLE 2080664 0 38355 ISHARES TR RUSSELL 2000 ETF 464287655 114529 699325 SH SOLE 684746 0 14579 ISHARES TR SELECT DIVID ETF 464287168 3321 33974 SH SOLE 27757 0 6217 ISHARES TR SH TR CRPORT ETF 464288646 8073 77851 SH SOLE 13101 0 64750 ISHARES TR TIPS BD ETF 464287176 535771 4746795 SH SOLE 4651755 0 95040 ISHARES US ETF TR COMMOD SEL STG 46431W853 431527 11047822 SH SOLE 10840990 0 206832 JOHNSON & JOHNSON COM 478160104 383285 3158773 SH SOLE 2732457 0 426316 JPMORGAN CHASE & CO COM 46625H100 278896 2676544 SH SOLE 2204213 0 472331 KIMBERLY CLARK CORP COM 494368103 19779 187764 SH SOLE 50652 0 137113 LEGGETT & PLATT INC COM 524660107 120882 2707921 SH SOLE 2282578 0 425343 LOCKHEED MARTIN CORP COM 539830109 240085 812664 SH SOLE 671184 0 141480 LOWES COS INC COM 548661107 266540 2788947 SH SOLE 2337133 0 451814 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 19419 281102 SH SOLE 40951 0 240151 MICROSOFT CORP COM 594918104 423863 4298382 SH SOLE 3692355 0 606027 NOVARTIS A G SPONSORED ADR 66987V109 297538 3938810 SH SOLE 3405625 0 533185 OCCIDENTAL PETE CORP COM 674599105 241052 2880637 SH SOLE 2511475 0 369162 OMNICOM GROUP INC COM 681919106 227088 2977417 SH SOLE 2583405 0 394013 ORACLE CORP COM 68389X105 218896 4968123 SH SOLE 4211611 0 756512 PARKER HANNIFIN CORP COM 701094104 214250 1374722 SH SOLE 1211733 0 162989 PEPSICO INC COM 713448108 3271 30045 SH SOLE 10023 0 20022 PFIZER INC COM 717081103 286229 7889424 SH SOLE 6925987 0 963438 PHILIP MORRIS INTL INC COM 718172109 277027 3431110 SH SOLE 3151469 0 279642 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 66411 653975 SH SOLE 649634 0 4341 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 16754 708707 SH SOLE 604362 0 104345 PPG INDS INC COM 693506107 327975 3161810 SH SOLE 2682651 0 479159 PROCTER AND GAMBLE CO COM 742718109 241094 3088570 SH SOLE 2743545 0 345025 RAYTHEON CO COM NEW 755111507 230415 1192746 SH SOLE 1015297 0 177449 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 819753 31662926 SH SOLE 31660588 0 2338 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 1700840 51462638 SH SOLE 51459387 0 3251 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 820362 22743617 SH SOLE 22741835 0 1782 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 1907136 36444417 SH SOLE 36440693 0 3724 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 3258483 87265206 SH SOLE 87258521 0 6685 SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 2157045 54047722 SH SOLE 54043529 0 4193 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 1113034 40210786 SH SOLE 40207726 0 3060 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 2230475 75506964 SH SOLE 75501534 0 5430 SCHWAB STRATEGIC TR SCHWB FDT INT SC 808524748 1142494 32764378 SH SOLE 32761967 0 2411 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 396760 8049503 SH SOLE 8049503 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 2510770 38633175 SH SOLE 38630284 0 2891 SCHWAB STRATEGIC TR US REIT ETF 808524847 987965 23646825 SH SOLE 23645028 0 1797 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 1360225 18488862 SH SOLE 18487541 0 1321 SCHWAB STRATEGIC TR US TIPS ETF 808524870 2191818 39916530 SH SOLE 39913191 0 3339 SELECT SECTOR SPDR TR ENERGY 81369Y506 101340 1334470 SH SOLE 1334470 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 98226 3694033 SH SOLE 3619549 0 74484 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 201 5241 SH SOLE 5241 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 378782 1396273 SH SOLE 1367215 0 29058 SPDR SER TR NUVEEN BRC MUNIC 78468R721 22785 474890 SH SOLE 474890 0 0 SPDR SER TR PORTFOLIO SH TSR 78468R101 112454 3804256 SH SOLE 3796711 0 7545 SPDR SER TR PORTFOLIO SM ETF 78468R853 147550 4570960 SH SOLE 4570960 0 0 SPDR SERIES TRUST BLMBRG BRC INTRM 78464A672 121903 2077068 SH SOLE 2071916 0 5152 SPDR SERIES TRUST BLOMBRG BRC EMRG 78464A391 323240 11989625 SH SOLE 11988822 0 803 SPDR SERIES TRUST BLOMBRG BRC TIPS 78464A656 8658 155921 SH SOLE 155921 0 0 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 47716 1344865 SH SOLE 1343474 0 1391 SPDR SERIES TRUST DJ REIT ETF 78464A607 77643 826340 SH SOLE 826340 0 0 SPDR SERIES TRUST PORTFOLIO INTRMD 78464A375 733239 22025811 SH SOLE 22018134 0 7677 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 175410 5815998 SH SOLE 5808825 0 7173 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 63433 1459246 SH SOLE 1459246 0 0 STARBUCKS CORP COM 855244109 105420 2158033 SH SOLE 1899501 0 258532 TEXAS INSTRS INC COM 882508104 282741 2564543 SH SOLE 2103999 0 460544 TJX COS INC NEW COM 872540109 121730 1278937 SH SOLE 1103110 0 175827 UNITED TECHNOLOGIES CORP COM 913017109 341297 2729721 SH SOLE 2355467 0 374254 V F CORP COM 918204108 352007 4318036 SH SOLE 3754029 0 564007 VANECK VECTORS ETF TR JP MORGAN MKTS 92189F494 429441 25231590 SH SOLE 25229826 0 1764 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 298545 3769984 SH SOLE 3744983 0 25001 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 28551 521851 SH SOLE 521851 0 0 VANGUARD GROUP DIV APP ETF 921908844 299059 2942923 SH SOLE 2872170 0 70753 VANGUARD INDEX FDS LARGE CAP ETF 922908637 249491 1999767 SH SOLE 1999767 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 114879 460420 SH SOLE 460420 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 42461 272763 SH SOLE 272763 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 508350 3619954 SH SOLE 3552393 0 67561 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 834507 19775063 SH SOLE 19448557 0 326506 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 29633 256769 SH SOLE 256769 0 0 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 580226 9990101 SH SOLE 9989293 0 808 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 708353 13894726 SH SOLE 13894708 0 18 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 91777 1464919 SH SOLE 1464854 0 65 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 636331 7618917 SH SOLE 7510401 0 108516 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 71697 818746 SH SOLE 818746 0 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 1907896 37111373 SH SOLE 37108318 0 3055 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 1291519 30105319 SH SOLE 29755337 0 349982 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 28494 343091 SH SOLE 341968 0 1123 VANGUARD WHITEHALL FDS INC INTL DVD ETF 921946810 1535 23700 SH SOLE 4124 0 19576 VANGUARD WHITEHALL FDS INC INTL HIGH ETF 921946794 82676 1328560 SH SOLE 1328560 0 0 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 92935 547866 SH SOLE 536426 0 11440 VERIZON COMMUNICATIONS INC COM 92343V104 353508 7026595 SH SOLE 6203788 0 822807 VISA INC COM CL A 92826C839 295 2226 SH SOLE 2226 0 0 WALMART INC COM 931142103 265661 3101697 SH SOLE 2692695 0 409002 WASTE MGMT INC DEL COM 94106L109 653 8022 SH SOLE 6560 0 1463 WATSCO INC COM 942622200 111258 624063 SH SOLE 536032 0 88031 WELLS FARGO CO NEW COM 949746101 321220 5794014 SH SOLE 4966577 0 827437