Chief Operating Officer

0001085146-21-003392.txt : 20211116 0001085146-21-003392.hdr.sgml : 20211116 20211115180024 ACCESSION NUMBER: 0001085146-21-003392 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211116 DATE AS OF CHANGE: 20211115 EFFECTIVENESS DATE: 20211116 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: 211413079 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 primary_doc.xml 13F-HR LIVE false false false 0001501902 XXXXXXXX 09-30-2021 09-30-2021 false Charles Schwab Investment Advisory, Inc.

211 MAIN ST. SAN FRANCISCO CA 94105

13F HOLDINGS REPORT 028-14153 N Jonathan De St Paer Chief Operating Officer 415-667-1910 /s/ Jonathan De St Paer San Fransico CA 11-15-2021 1 140 59860124 false 1 0001789219 028-19636 Charles Schwab Trust Co INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ABERDEEN STD PRECIOUS METALS PHYSCL PM BASKET 003263100 10122 117072 SH SOLE 117072 0 0 ABERDEEN STD PRECIOUS METALS PHYSCL PM BASKET 003263100 176 2031 SH SOLE 1 2031 0 0 ALPHABET INC CAP STK CL A 02079K305 376 140 SH SOLE 140 0 0 ALPHABET INC CAP STK CL C 02079K107 673 253 SH SOLE 253 0 0 AMAZON COM INC COM 023135106 1292 393 SH SOLE 393 0 0 APPLE INC COM 037833100 758 5358 SH SOLE 5358 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 289 1058 SH SOLE 1058 0 0 DBX ETF TR XTRACK INTL REAL 233051846 470585 17074921 SH SOLE 17074921 0 0 DBX ETF TR XTRACK INTL REAL 233051846 3279 118989 SH SOLE 1 118989 0 0 DBX ETF TR XTRACK MSCI EAFE 233051630 547881 24114483 SH SOLE 24114483 0 0 DBX ETF TR XTRACK MSCI EAFE 233051630 349 15376 SH SOLE 1 15376 0 0 DBX ETF TR XTRACK USD HIGH 233051432 254834 6358121 SH SOLE 6358121 0 0 DBX ETF TR XTRACK USD HIGH 233051432 225 5624 SH SOLE 1 5624 0 0 GLOBAL X FDS GLBL X MLP ETF 37954Y343 507 14381 SH SOLE 14381 0 0 GLOBAL X FDS US PFD ETF 37954Y657 22 838 SH SOLE 1 838 0 0 GLOBAL X FDS US PFD ETF 37954Y657 47209 1832652 SH SOLE 1832652 0 0 HOME DEPOT INC COM 437076102 202 614 SH SOLE 614 0 0 HUMANA INC COM 444859102 224 576 SH SOLE 576 0 0 ICAHN ENTERPRISES LP DEPOSITARY UNIT 451100101 755 15118 SH SOLE 15118 0 0 INVESCO EXCH TRADED FD TR II CALIF AMT MUN 46138E206 156525 5640547 SH SOLE 5640547 0 0 INVESCO EXCH TRADED FD TR II FTSE RAFI DEV 46138E743 5819 124169 SH SOLE 1 124169 0 0 INVESCO EXCH TRADED FD TR II FTSE RAFI DEV 46138E743 389414 8310157 SH SOLE 8310157 0 0 INVESCO EXCH TRADED FD TR II FTSE RAFI EMNG 46138E727 3288 147190 SH SOLE 1 147190 0 0 INVESCO EXCH TRADED FD TR II FTSE RAFI EMNG 46138E727 259118 11598845 SH SOLE 11598845 0 0 INVESCO EXCH TRADED FD TR II FTSE RAFI SML 46138E735 2921 77777 SH SOLE 1 77777 0 0 INVESCO EXCH TRADED FD TR II FTSE RAFI SML 46138E735 190841 5080968 SH SOLE 5080968 0 0 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 71320 3225697 SH SOLE 3225697 0 0 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 849 38380 SH SOLE 1 38380 0 0 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 441994 2791069 SH SOLE 2791069 0 0 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 6600 41676 SH SOLE 1 41676 0 0 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1500 46137V597 6171 33818 SH SOLE 1 33818 0 0 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1500 46137V597 418879 2295351 SH SOLE 2295351 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 743 2075 SH SOLE 2075 0 0 ISHARES GOLD TR ISHARES NEW 464285204 665125 19907951 SH SOLE 19907951 0 0 ISHARES GOLD TR ISHARES NEW 464285204 4454 133323 SH SOLE 1 133323 0 0 ISHARES INC CORE MSCI EMKT 46434G103 216138 3499644 SH SOLE 3499644 0 0 ISHARES INC CORE MSCI EMKT 46434G103 4549 73650 SH SOLE 1 73650 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 294 6429 SH SOLE 6429 0 0 ISHARES TR 3 7 YR TREAS BD 464288661 7046 54131 SH SOLE 54131 0 0 ISHARES TR BROAD USD HIGH 46435U853 28626 689789 SH SOLE 689789 0 0 ISHARES TR BROAD USD HIGH 46435U853 211 5087 SH SOLE 1 5087 0 0 ISHARES TR CALIF MUN BD ETF 464288356 367468 5919749 SH SOLE 5919749 0 0 ISHARES TR CORE INTL AGGR 46435G672 21811 396419 SH SOLE 396419 0 0 ISHARES TR CORE INTL AGGR 46435G672 365 6633 SH SOLE 1 6633 0 0 ISHARES TR CORE S&P500 ETF 464287200 641 1488 SH SOLE 1488 0 0 ISHARES TR CORE US AGGBD ET 464287226 457 3976 SH SOLE 3976 0 0 ISHARES TR CORE US AGGBD ET 464287226 243 2117 SH SOLE 1 2117 0 0 ISHARES TR CRE U S REIT ETF 464288521 1844 31448 SH SOLE 1 31448 0 0 ISHARES TR CRE U S REIT ETF 464288521 91606 1561912 SH SOLE 1561912 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 649 11877 SH SOLE 11877 0 0 ISHARES TR MBS ETF 464288588 144026 1331848 SH SOLE 1331848 0 0 ISHARES TR MBS ETF 464288588 1154 10672 SH SOLE 1 10672 0 0 ISHARES TR PFD AND INCM SEC 464288687 0 6 SH SOLE 6 0 0 ISHARES TR PFD AND INCM SEC 464288687 972 25042 SH SOLE 1 25042 0 0 JPMORGAN CHASE & CO COM 46625H100 263 1607 SH SOLE 1607 0 0 MICROSOFT CORP COM 594918104 569 2019 SH SOLE 2019 0 0 NVIDIA CORPORATION COM 67066G104 328 1581 SH SOLE 1581 0 0 SCHWAB STRATEGIC TR 1 5YR CORP BD 808524714 13 257 SH SOLE 257 0 0 SCHWAB STRATEGIC TR 1 5YR CORP BD 808524714 464 9094 SH SOLE 1 9094 0 0 SCHWAB STRATEGIC TR 5 10YR CORP BD 808524698 1728 33098 SH SOLE 1 33098 0 0 SCHWAB STRATEGIC TR 5 10YR CORP BD 808524698 6 122 SH SOLE 122 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 9715 318735 SH SOLE 1 318735 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 1946316 63855496 SH SOLE 63855496 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 2328259 60161734 SH SOLE 60161734 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 12842 331828 SH SOLE 1 331828 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 1194997 28781229 SH SOLE 28781229 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 6220 149809 SH SOLE 1 149809 0 0 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 681240 12012687 SH SOLE 12012687 0 0 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 2083 36727 SH SOLE 1 36727 0 0 SCHWAB STRATEGIC TR LONG TERM US 808524680 368 7328 SH SOLE 1 7328 0 0 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 21426 397154 SH SOLE 1 397154 0 0 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 4723478 87552869 SH SOLE 87552869 0 0 SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 13258 251677 SH SOLE 1 251677 0 0 SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 3186770 60492967 SH SOLE 60492967 0 0 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 18190 564367 SH SOLE 1 564367 0 0 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 3124492 96943592 SH SOLE 96943592 0 0 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 3586078 109231735 SH SOLE 109231735 0 0 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 19817 603615 SH SOLE 1 603615 0 0 SCHWAB STRATEGIC TR SCHWB FDT INT SC 808524748 1859503 48036764 SH SOLE 48036764 0 0 SCHWAB STRATEGIC TR SCHWB FDT INT SC 808524748 9947 256961 SH SOLE 1 256961 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 107 1964 SH SOLE 1964 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 385 7092 SH SOLE 1 7092 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 780 7512 SH SOLE 7512 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 624255 8408604 SH SOLE 8408604 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 2417 32560 SH SOLE 1 32560 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 29063 279368 SH SOLE 1 279368 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 6779890 65172444 SH SOLE 65172444 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 1056579 23130011 SH SOLE 23130011 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 5921 129624 SH SOLE 1 129624 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 19855 198353 SH SOLE 1 198353 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 4278338 42740642 SH SOLE 42740642 0 0 SCHWAB STRATEGIC TR US TIPS ETF 808524870 5886210 94058955 SH SOLE 94058955 0 0 SCHWAB STRATEGIC TR US TIPS ETF 808524870 20063 320595 SH SOLE 1 320595 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 391 910 SH SOLE 910 0 0 SPDR SER TR BLOMBRG BRC EMRG 78464A391 1383 54662 SH SOLE 1 54662 0 0 SPDR SER TR BLOMBRG BRC EMRG 78464A391 381093 15062981 SH SOLE 15062981 0 0 SPDR SER TR BLOOMBERG BRCLYS 78468R622 23 213 SH SOLE 213 0 0 SPDR SER TR BLOOMBERG BRCLYS 78468R622 1374 12565 SH SOLE 1 12565 0 0 SPDR SER TR ICE PFD SEC ETF 78464A292 3478 80030 SH SOLE 80030 0 0 SPDR SER TR ICE PFD SEC ETF 78464A292 5 112 SH SOLE 1 112 0 0 SPDR SER TR NUVEEN BRC MUNIC 78468R721 462742 8973090 SH SOLE 8973090 0 0 SPDR SER TR NUVEEN BRC MUNIC 78468R721 756 14668 SH SOLE 1 14668 0 0 SPDR SER TR PORTFLI TIPS ETF 78464A656 2908 93517 SH SOLE 1 93517 0 0 SPDR SER TR PORTFLI TIPS ETF 78464A656 245782 7902953 SH SOLE 7902953 0 0 SPDR SER TR PORTFOLIO INTRMD 78464A375 8128 222555 SH SOLE 1 222555 0 0 SPDR SER TR PORTFOLIO INTRMD 78464A375 682180 18679629 SH SOLE 18679629 0 0 SPDR SER TR PORTFOLIO LN TSR 78464A664 3 82 SH SOLE 82 0 0 SPDR SER TR PORTFOLIO LN TSR 78464A664 885 21426 SH SOLE 1 21426 0 0 TESLA INC COM 88160R101 934 1204 SH SOLE 1204 0 0 VANECK ETF TRUST JP MRGAN EM LOC 92189H300 116770 3896220 SH SOLE 3896220 0 0 VANECK ETF TRUST JP MRGAN EM LOC 92189H300 834 27826 SH SOLE 1 27826 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 35 406 SH SOLE 1 406 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 403 4720 SH SOLE 4720 0 0 VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 92203J407 18 321 SH SOLE 1 321 0 0 VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 92203J407 95173 1670868 SH SOLE 1670868 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1 7 SH SOLE 1 7 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 224 2200 SH SOLE 2200 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 13488 34198 SH SOLE 1 34198 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 609575 1545576 SH SOLE 1545576 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 6654 30428 SH SOLE 1 30428 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 376722 1722789 SH SOLE 1722789 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 316 5176 SH SOLE 5176 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 163 3259 SH SOLE 3259 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 107 2142 SH SOLE 1 2142 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 2216 16575 SH SOLE 1 16575 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 120040 897896 SH SOLE 897896 0 0 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 339842 6035198 SH SOLE 6035198 0 0 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 1443 25626 SH SOLE 1 25626 0 0 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 893 16301 SH SOLE 1 16301 0 0 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 1106375 20200381 SH SOLE 20200381 0 0 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 283 4196 SH SOLE 4196 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 4727799 50077311 SH SOLE 50077311 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 16728 177181 SH SOLE 1 177181 0 0 VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 92206C771 3737144 70128430 SH SOLE 70128430 0 0 VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 92206C771 6888 129251 SH SOLE 1 129251 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 277844 5502945 SH SOLE 5502945 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 4043 80079 SH SOLE 1 80079 0 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 73506 711237 SH SOLE 711237 0 0 VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 30 455 SH SOLE 1 455 0 0 VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 128350 1943221 SH SOLE 1943221 0 0