0001085146-19-002428.txt : 20190925 0001085146-19-002428.hdr.sgml : 20190925 20190925155946 ACCESSION NUMBER: 0001085146-19-002428 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20190925 DATE AS OF CHANGE: 20190925 EFFECTIVENESS DATE: 20190925 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: 191114203 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 03-31-2016 03-31-2016 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 09-09-2019 0 68 9600925 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE DBX ETF TR XTRAK MSCI EAFE 233051200 59196 2317788 SH SOLE 2317788 0 0 DIREXION SHS ETF TR ZACKS HG INC SHS 25459Y298 207 13247 SH SOLE 13247 0 0 ETFS PRECIOUS METALS BASKET PHYS PM BSKT 26922W109 25211 425289 SH SOLE 425289 0 0 FLEXSHARES TR IBOXX 5YR TRGT 33939L605 193093 7638150 SH SOLE 7638150 0 0 FLEXSHARES TR INTL QLTDV IDX 33939L837 713 32281 SH SOLE 32281 0 0 GLOBAL X FDS GLBL X MLP ETF 37950E473 4407 451557 SH SOLE 451557 0 0 HIGHLAND FDS I HI LD IBOXX SRLN 430101774 181279 9933095 SH SOLE 9933095 0 0 ISHARES GOLD TRUST ISHARES 464285105 263324 22165384 SH SOLE 22164467 0 917 ISHARES INC CORE MSCI EMKT 46434G103 152859 3672726 SH SOLE 3672726 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 409991 9104838 SH SOLE 9104486 0 352 ISHARES TR 3-7 YR TR BD ETF 464288661 33511 266065 SH SOLE 266065 0 0 ISHARES TR AGENCY BOND ETF 464288166 57545 500914 SH SOLE 500914 0 0 ISHARES TR CALIF MUN BD ETF 464288356 1337 11207 SH SOLE 11207 0 0 ISHARES TR CMBS ETF 46429B366 27211 523075 SH SOLE 523075 0 0 ISHARES TR EAFE SML CP ETF 464288273 104040 2089172 SH SOLE 2089172 0 0 ISHARES TR IBOXX INV CP ETF 464287242 123108 1036089 SH SOLE 1036089 0 0 ISHARES TR INTERM CR BD ETF 464288638 27215 248110 SH SOLE 248110 0 0 ISHARES TR INTL TREA BD ETF 464288117 213 2188 SH SOLE 2188 0 0 ISHARES TR MICRO-CAP ETF 464288869 45132 664477 SH SOLE 664477 0 0 ISHARES TR RUS 1000 ETF 464287622 450095 3945785 SH SOLE 3945785 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 132777 1200187 SH SOLE 1200187 0 0 ISHARES TR TIPS BD ETF 464287176 4586 40010 SH SOLE 40010 0 0 ISHARES TR U.S. PFD STK ETF 464288687 817 20944 SH SOLE 20944 0 0 ISHARES TR USA MIN VOL ETF 46429B697 43174 982793 SH SOLE 982793 0 0 MARKET VECTORS ETF TR JP MORGAN EM LC 57060U522 306390 16481476 SH SOLE 16480760 0 716 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 148283 1595125 SH SOLE 1595125 0 0 POWERSHARES ACT MANG COMM FD DB OPT YLD DIV 73937V106 185495 12037331 SH SOLE 12037331 0 0 POWERSHARES ETF TR II DEV MKTS EX-US 73936T789 41047 1160841 SH SOLE 1160841 0 0 POWERSHARES ETF TR II EMER MRKT PORT 73936T763 41957 2693001 SH SOLE 2693001 0 0 POWERSHARES ETF TR II EX US SML PORT 73936T771 36461 1393783 SH SOLE 1393782 0 1 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 86731 983903 SH SOLE 983903 0 0 POWERSHARES ETF TRUST FTSE US1500 SM 73935X567 37951 402236 SH SOLE 402236 0 0 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 1488 65497 SH SOLE 65497 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 203 1856 SH SOLE 1856 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 262680 12647069 SH SOLE 12646675 0 394 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 501228 18488680 SH SOLE 18488329 0 351 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 181584 6272312 SH SOLE 6272107 0 205 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 120587 2183351 SH SOLE 2183316 0 35 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 604752 20507005 SH SOLE 20506209 0 796 SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 362410 12627530 SH SOLE 12627031 0 499 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 279569 13486206 SH SOLE 13485638 0 568 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 435509 18406994 SH SOLE 18406328 0 666 SCHWAB STRATEGIC TR SCHWB FDT INT SC 808524748 249463 9311794 SH SOLE 9311414 0 380 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 45886 1144586 SH SOLE 1144586 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 646721 13241618 SH SOLE 13241289 0 329 SCHWAB STRATEGIC TR US REIT ETF 808524847 280646 6778876 SH SOLE 6778712 0 164 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 291910 5609339 SH SOLE 5609185 0 154 SCHWAB STRATEGIC TR US TIPS ETF 808524870 44294 797672 SH SOLE 797666 0 6 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 101927 4530107 SH SOLE 4530107 0 0 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 29442 839525 SH SOLE 839525 0 0 SPDR SER TR NUVN BRCLY MUNI 78468R721 54568 1106024 SH SOLE 1106024 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 74962 2188647 SH SOLE 2188647 0 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 130113 1367455 SH SOLE 1367455 0 0 SPDR SERIES TRUST INTR TRM CORP BD 78464A375 100881 2943707 SH SOLE 2943637 0 70 SPDR SERIES TRUST NUVN CALI MUNI 78464A441 26035 1056206 SH SOLE 1056206 0 0 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 18368 407548 SH SOLE 407548 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 163136 2991129 SH SOLE 2991023 0 106 VANGUARD INDEX FDS REIT ETF 922908553 3379 40325 SH SOLE 40325 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 78565 416656 SH SOLE 416656 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 37244 334059 SH SOLE 334059 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 32393 346899 SH SOLE 346899 0 0 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 126918 2371853 SH SOLE 2371775 0 78 VANGUARD MUN BD FD INC TAX-EXEMPT BD 922907746 13718 266629 SH SOLE 266629 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 271 3127 SH SOLE 3127 0 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 618837 11573529 SH SOLE 11573382 0 147 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 406197 11320977 SH SOLE 11320977 0 0 VANGUARD WHITEHALL FDS INC EMERG MKT BD ETF 921946885 47620 618883 SH SOLE 618883 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 2065 29914 SH SOLE 29914 0 0