How Do Your Financial Professionals Make Money
Our representatives include branch-based Financial Consultants and phone-based representatives who help you select the program or service that best meets your needs. They receive cash payments based on factors like the amount of assets you have with us and the time, complexity, and expertise required to help you with any of the services we provide specifically, they receive compensation to navigate you to our investment advisory services and service your accounts once enrolled in such services. They do earn more for recommending certain services over others but what they earn is not directly based on the revenue the firm earns.
CSIM and CSIA Portfolio Managers and SWAI Wealth Advisors receive a fixed base salary and may earn a discretionary bonus based on the financial performance of The Charles Schwab Corporation . CSIM and CSIA Portfolio Managers also have the potential to participate in discretionary equity awards. For certain CSIM Portfolio Managers managing strategies within Schwabs Managed Account Services, their discretionary bonus is funded both on the financial performance of CSC and their strategys performance results or asset growth. For more information on how we pay our representatives, go to schwab.com/representative-compensation.
Portfolio Holdings For Charles Schwab Investment Management
Companies in the Charles Schwab Investment Management portfolio as of the March 2022 quarterly 13F filing
Charles Schwab Investment Management has 3579 total positions. Only the first 250 positions are shown.
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Focused Lineup Of Products And Solutions
Our product strategy is driven by our insights into the varied and evolving needs of investors. We offer a deliberate lineup of straightforward core investment products, as well as sophisticated, customizable solutions. These include ETFs, mutual funds and separately managed account strategies designed to serve the needs of most investors.
Charles Schwab Investment Management Inc
Charles Schwab Investment Management Inc. raised its holdings in shares of Fastenal by 0.7% in the fourth quarter, Holdings Channel reports. The institutional investor owned 2,484,390 shares of the companys stock after acquiring an additional 17,752 shares during the period. Charles Schwab Investment Management Inc.s holdings in Fastenal were worth $121,313,000 as of its most recent filing with the Securities and Exchange Commission.
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Banking On Added Value
The dot-com bubble bursts, and so does Schwab’s unsustainable cost structure. After CEO Dave Pottruck resigns, Chuck returns to lead the firm. Through acquisition and organic growth, the corporation introduces new products and services for three distinct client segmentsindividual investors, independent advisors, and company plan sponsorsand expands offerings with the launch of Charles Schwab Bank®.
2001: CyBerCorp Inc. changes its name to Cyber Trader® Inc. and enhances its service with improved software, educational tools, and tiered pricing.
2002: Schwab launches an alternative for investment research, Schwab Equity Ratings®, and two new advisory services for affluent investors, Schwab Private Client® and Schwab Advisor Network®.3 Schwab Core Equity Fund and Schwab Hedged Equity Fund are introduced, with both using the Schwab Equity Ratings model. Schwab Advisor WebCenter launches, an advisor-branded website development and hosting service for independent investment advisors working with Schwab Institutional®.
2003: Charles Schwab Bank launches. Schwab Small-Cap Equity Fund is introduced.
Charles Schwab Investment Management Inc Brokerage Details
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- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses or institutional clients
- Selection of other advisers
Thomas has 14 years of experience.
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Selected First Quarter Balances
- For banking subsidiaries:
- Balance sheet assets = $491.0 billion, up 24% year-over-year.
- Outstanding mortgage and home equity loans = $23.3 billion, up 42% year-over-year.
- Pledged Asset Line® balances = $13.7 billion, up 56% year-over-year.
- Client assets managed by one of the company’s digital advisory solutions totaled $75.0 billion, up 18% year-over-year.
- Client assets in proprietary and third-party purchased money market funds totaled $123.0 billion, down 17% year-over-year.
So What Is Thematic Investing All About
Thematic investing is an approach that uses research to identify trends, opportunities, and relevant companies and group them into overarching themes to invest in. In contrast to sector investing, Tooltip Sector investing offers investors exposure to companies in defined economic segments, such as energy, real estate, information technology, and more. themes include investments that span many sectors, such as the Workforce Diversity Leaders themebringing together a variety of companies from tech, retail, gaming, hospitality, and more.
Thematic investing lets you align your investments with personal interests and values, including themes like space economy, genomics, cybersecurity, and many others. There are many ways to invest thematically, including through thematic exchange-traded funds and mutual funds, or by using thematic stock lists and screeners.
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Open Up A World Of Investment Opportunities With Schwab
This information is not intended to be a substitute for specific individualized tax, legal, or investment planning advice.
Neither the tax-loss harvesting strategy nor any discussion herein is intended as tax advice, and Charles Schwab Investment Management, Inc. does not represent that any particular tax consequences will be obtained. Tax-loss harvesting involves certain risks including unintended tax implications. Investors should consult with their tax advisors and refer to the Internal Revenue Service website at www.irs.gov about the consequences of tax-loss harvesting.
Diversification and asset allocation strategies do not ensure a profit and cannot protect against losses in a declining market.
Please refer to the Charles Schwab Investment Management, Inc. Disclosure Brochure for additional information.
Portfolio management for Schwab Personalized Indexing is provided by Charles Schwab Investment Management, Inc. . Schwab Asset Management is the dba name for CSIM, a registered investment adviser and an affiliate of Charles Schwab & Co., Inc. . Both CSIM and Schwab are separate entities and subsidiaries of The Charles Schwab Corporation.
There are risks associated with any investment approach, and each Schwab Personalized Indexing strategy and equity market segment has their own set of risks based on client strategy selection and further customization.
Take A Look At All 40+ Themes
Still have questions about thematic investing? Here are some answers.
- What are thematic stock lists?
Thematic stock lists are groups of stocks related to an idea or trend. For each theme, we use proprietary research and technology to select stocks that collectively relate to a trend, market insight, or innovation.
You should consider your own circumstances and determine which securities are right for you based on your investment objectives, risk tolerance, financial situation, and other individual factors which you should re-evaluate on a periodic basis.
- Are there fees associated with thematic stock lists?
There are no trade commissions when you buy stocks online based on thematic stock lists.1 Service charges apply for trades placed through a broker or by automated phone. Other fees and charges, such as exchange process fees, may apply.
- How are the thematic stock lists created?
We explore news sources, industry publications, and research reports to identify trends and assess their potential as ideas and insights for themes. From our findings, we develop keywords and phrases connected to specific themes. Using AI, we search millions of public documents for companies linked to those keywords and phrases, then apply a proprietary algorithm to rank U.S. exchange-listed stocks on their relevance to the theme. Find out more about Schwab’s thematic research approach.
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Our Approach To Investment Stewardship
Schwab Asset Management believes that corporate directors, as the elected representatives of all shareholders, are best positioned to oversee the management of their companies. Accordingly, we typically support the recommendations of management and a board of directors on proxy matters unless we believe they are not in the best interest of our fund shareholders. We also recognize that companies can conduct themselves in ways that have important environmental and social consequences. Therefore, CSIMs focus on maximizing longterm shareholder value includes consideration of potential environmental and social impacts that we believe are relevant to individual companies.
Get Started With Schwab’s 40+ Thematic Stock Lists
As a Schwab client, you can search our catalog of 40+ thematic stock lists by keyword, company, stock symbol, or theme name. Each list includes highly relevant stocks with details like price, day change, and market cap. There’s no fee to access our thematic stock listsall you need is a Schwab account to get started.
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What Fees Will I Pay
We charge a fee for some, but not all, of our advisory services, including asset-based fees and fixed one-time and recurring fees. Some of these fees may be negotiable.
- Our asset-based or wrap fees are calculated based on the amount of assets in the account and usually billed on a quarterly basis. These fees include most transaction costs and could be higher than fees charged for advisory services that do not include such costs. There are other fees that will apply to your account, such as mutual fund and ETF operating expenses , costs for trades executed at a firm other than Schwab, and account services fees.
- The more assets in your accounts, the more money Schwab and its affiliates earn, so we have an incentive to encourage you to invest more assets. We earn money from third parties or affiliates on certain products, including cash, mutual funds, and ETFs held in your accounts, so we have an incentive to encourage such investments.
- You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.
To learn more about specific fees for each program, go to schwab.com/advisory to access the relevant sections of each program disclosure brochure.
Expanding Service And Access
True to his independent roots, Chuck Schwab buys the company back from Bank of America and, two months later, takes it public. A market crash and catastrophic earthquake shake the San Francisco-based firm, but Schwab still manages to launch services for independent financial advisors: the Schwab 1000 Fund®, the No-Fee IRA, Schwab Mutual Fund OneSource® service, and online trading.
1987: In March, management leads a buyback from Bank of America for $280 million. In September, The Charles Schwab Corporation completes its first initial public offering. In October, the market crashes and the Dow Jones Industrial Average loses 500 points. During the year, Schwab launches Financial Advisors Service to serve independent investment advisors.
1988: Financial Advisors Service exceeds $1 billion in client assets after just one year of business.
1989: Schwab introduces TeleBroker®, an automated technology for telephone brokerage service.
1990: The company introduces Schwab Funds® money market mutual funds. The Indianapolis service center opens as the first customer telephone service center outside of San Francisco. The first Asia Pacific center opens with bilingual services.
1991: The company introduces the Schwab 1000 Fund, an equity index fund that reaches $191 million in client assets by years end. Schwab hosts the first annual National Financial Advisors Conference, later renamed IMPACT®. Schwab debuts its first network TV advertising campaign.
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What Are Your Legal Obligations To Me When Acting As My Investment Adviser How Else Does Your Firm Make Money And What Conflicts Of Interest Do You Have
All recommendations regarding your advisory account will be in an adviser capacity. When we, CSIA, CSIM, or SWAI act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations we provide you. Here are some examples to help you understand what this means. We and our affiliates earn money from:
- The “spread” on cash in your accountsi.e., the difference between what we earn and what we pay you in interest.
- Fees from third-party advisers participating in our referral service.
- Other compensation and conflicts that are specific to the different programs.
To learn more about specific conflicts for each program, go to schwab.com/advisory to access the relevant sections of each program Disclosure Brochure: Other Financial Industry Activities and Affiliations Code of Ethics, Participation or Interest in Client Transactions and Personal Trading.
Boosts Holdings In Fastenal
A number of other institutional investors and hedge funds have also added to or reduced their stakes in FAST. Public Employees Retirement System of Ohio increased its stake in shares of Fastenal by 16.7% in the 3rd quarter. Public Employees Retirement System of Ohio now owns 262,891 shares of the companys stock worth $11,854,000 after purchasing an additional 37,588 shares in the last quarter.
M& T Bank Corp grew its stake in shares of Fastenal by 0.5% during the 4th quarter. M& T Bank Corp now owns 137,094 shares of the companys stock valued at $6,693,000 after acquiring an additional 643 shares during the period. IBM Retirement Fund lifted its holdings in Fastenal by 13.7% during the fourth quarter. IBM Retirement Fund now owns 21,153 shares of the companys stock valued at $1,033,000 after purchasing an additional 2,543 shares in the last quarter.
UBS Asset Management Americas Inc. boosted its position in shares of Fastenal by 10.1% in the third quarter. UBS Asset Management Americas Inc. now owns 4,013,855 shares of the companys stock worth $180,985,000 after purchasing an additional 366,582 shares during the period. Finally, Park Avenue Securities LLC boosted its position in shares of Fastenal by 25.8% in the fourth quarter. Park Avenue Securities LLC now owns 14,287 shares of the companys stock worth $698,000 after purchasing an additional 2,928 shares during the period. Institutional investors and hedge funds own 77.13% of the companys stock.
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Notes: Weekly averages are updated after 1:00 pm Pacific time on the second business day of the following week. These preliminary estimates are intended to provide a directional view of client trading activity during a given weekly period. These estimates are subject to change and may be updated based on additional information.
Subsidiaries And Parent Companies
Charles Schwab Investment Management, Inc. is directly consolidated by The Charles Schwab Corporation
Charles Schwab Investment Management, Inc. is ultimately consolidated by The Charles Schwab Corporation
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Charles Schwab Investment Management Inc Schwab Managed Portfolios Disclosure Brochure
Charles Schwab Investment Management, Inc. Schwab Managed Portfolios Disclosure Brochure
The Charles Schwab Corporation provides a full range of brokerage, banking and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. , offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank, SSB , provides deposit and lending services and products. Access to Electronic Services may be limited or unavailable during periods of peak demand, market volatility, systems upgrade, maintenance, or for other reasons.
This site is designed for U.S. residents. Non-U.S. residents are subject to country-specific restrictions. Learn more about our services for non-U.S. residents.
© 2022 Charles Schwab & Co., Inc. All rights reserved. Member SIPC. Unauthorized access is prohibited. Usage will be monitored.
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Not FDIC Insured No Bank Guarantee May Lose Value
Schwab Asset Management is the dba name for Charles Schwab Investment Management, Inc. , the investment adviser for Schwab Funds, Schwab ETFs, and separately managed account strategies. Schwab Funds are distributed by Charles Schwab & Co., Inc. , Member SIPC. Schwab ETFs are distributed by SEI Investments Distribution Co. . Schwab Asset Management and Schwab are separate but affiliated companies and subsidiaries of The Charles Schwab Corporation, and are not affiliated with SIDCO.
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Charles Schwab Investment Management, Inc does not have any disclosures.
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