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Institutional Investment Manager
Charles Schwab Investment Advisory, Inc.
Charles Schwab Investment Advisory, Inc. (CIK: 0001501902), located at 211 Main St., San Francisco, CA. Institutional holdings reported to the SEC.
Institutional Holdings (2016Q1)
Original 13F HR (0001085146-16-003585) filed in 2016.05.04
#
Name
Shares
Value ($)
%
Options
Notes
1 DBX ETF TR 2,317,788 59,196 0.62%
2 DIREXION SHS ETF TR 13,247 207 0.00%
3 ETFS PHYSICAL PRECIOUS METAL BASKET SHARES 425,289 25,211 0.26%
4 FLEXSHARES IBOXX 5 Yr DURATION TIPS ETF 7,638,150 193,093 2.01%
5 FLEXSHARES TR 32,281 713 0.01%
6 GLOBAL X FDS 451,557 4,407 0.05%
7 HIGHLAND FDS I 9,933,095 181,279 1.89%
8 ISHARES 5-10 YEAR INVESTMENT GRADE CORPORATE BOND ETF 248,110 27,215 0.28%
9 ISHARES GOLD TRUST 22,165,384 263,324 2.74%
10 ISHARES INC 3,672,726 152,859 1.59%
11 ISHARES MSCI EAFE SMALL CAP IDX FD 2,089,172 104,040 1.08%
12 ISHARES RUSSELL 1000 ETF 3,945,785 450,095 4.69%
13 ISHARES TR 982,793 43,174 0.45%
14 ISHARES TR 40,010 4,586 0.05%
15 ISHARES TR 1,036,089 123,108 1.28%
16 ISHARES TR 1,200,187 132,777 1.38%
17 ISHARES TR 2,188 213 0.00%
18 ISHARES TR 500,914 57,545 0.60%
19 ISHARES TR 11,207 1,337 0.01%
20 ISHARES TR 266,065 33,511 0.35%
21 ISHARES TR 20,944 817 0.01%
22 ISHARES TR 664,477 45,132 0.47%
23 ISHARES TR 9,104,838 409,991 4.27%
24 ISHARES TRUST CMBS ETF 523,075 27,211 0.28%
25 PIMCO ETF TR 1,595,125 148,283 1.54%
26 POWERSHARES ACT MANG COMM FD 12,037,331 185,495 1.93%
27 POWERSHARES ETF TR II 2,693,001 41,957 0.44%
28 POWERSHARES ETF TR II 1,393,783 36,461 0.38%
29 POWERSHARES ETF TR II 1,160,841 41,047 0.43%
30 POWERSHARES ETF TRUST 983,903 86,731 0.90%
31 POWERSHARES ETF TRUST 402,236 37,951 0.40%
32 POWERSHARES ETF TRUST II 65,497 1,488 0.02%
33 POWERSHARES QQQ TRUST 1,856 203 0.00%
34 SCHWAB EMERGING MARKETS EQUITY ETF 12,647,069 262,680 2.74%
35 SCHWAB FUNDAMENTAL INTERNATIONAL SMALL COMPANY IND 9,311,794 249,463 2.60%
36 SCHWAB INTERMEDIATE-TERM US TREASURY ETF 2,183,351 120,587 1.26%
37 SCHWAB INTERNATIONAL EQUITY ETF 18,488,680 501,228 5.22%
38 SCHWAB INTERNATIONAL SMALL-CAP EQUITY ETF 6,272,312 181,584 1.89%
39 SCHWAB STRATEGIC TR 12,627,530 362,410 3.77%
40 SCHWAB STRATEGIC TRUST SCHWAB FUNDAMENTAL EMERG 13,486,206 279,569 2.91%
41 SCHWAB STRATEGIC TRUST SCHWAB FUNDAMENTAL INTL 18,406,994 435,509 4.54%
42 SCHWAB STRATEGIC TRUST SCHWAB FUNDAMENTAL US 20,507,005 604,752 6.30%
43 SCHWAB U.S. LARGE-CAP ETF 13,241,618 646,721 6.74%
44 SCHWAB U.S. REIT ETF 6,778,876 280,646 2.92%
45 SCHWAB U.S. SMALL-CAP ETF 5,609,339 291,910 3.04%
46 SCHWAB US DIVIDEND EQUITY ETF 1,144,586 45,886 0.48%
47 SCHWAB US TIPS ETF 797,672 44,294 0.46%
48 SELECT SECTOR SPDR TR 4,530,107 101,927 1.06%
49 SPDR DOW JONES REIT ETF 1,367,455 130,113 1.36%
50 SPDR INDEX SHS FDS 839,525 29,442 0.31%
Page 1 of 2
Restatement filing (0001085146-19-002428) filed in 2019.09.25
#
Name
Shares
Value ($)
%
Options
Notes
1 SCHWAB U.S. LARGE-CAP ETF 13,241,618 646,721 6.74%
2 VANGUARD MORTG-BACK SEC ETF 11,573,529 618,837 6.45%
3 SCHWAB STRATEGIC TRUST SCHWAB FUNDAMENTAL US 20,507,005 604,752 6.30%
4 SCHWAB INTERNATIONAL EQUITY ETF 18,488,680 501,228 5.22%
5 ISHARES RUSSELL 1000 ETF 3,945,785 450,095 4.69%
6 SCHWAB STRATEGIC TRUST SCHWAB FUNDAMENTAL INTL 18,406,994 435,509 4.54%
7 ISHARES TR 9,104,838 409,991 4.27%
8 VANGUARD TAX-MANAGED FDS 11,320,977 406,197 4.23%
9 SCHWAB STRATEGIC TR 12,627,530 362,410 3.77%
10 Van Eck 16,481,476 306,390 3.19%
11 SCHWAB U.S. SMALL-CAP ETF 5,609,339 291,910 3.04%
12 SCHWAB U.S. REIT ETF 6,778,876 280,646 2.92%
13 SCHWAB STRATEGIC TRUST SCHWAB FUNDAMENTAL EMERG 13,486,206 279,569 2.91%
14 ISHARES GOLD TRUST 22,165,384 263,324 2.74%
15 SCHWAB EMERGING MARKETS EQUITY ETF 12,647,069 262,680 2.74%
16 SCHWAB FUNDAMENTAL INTERNATIONAL SMALL COMPANY IND 9,311,794 249,463 2.60%
17 FLEXSHARES IBOXX 5 Yr DURATION TIPS ETF 7,638,150 193,093 2.01%
18 POWERSHARES ACT MANG COMM FD 12,037,331 185,495 1.93%
19 SCHWAB INTERNATIONAL SMALL-CAP EQUITY ETF 6,272,312 181,584 1.89%
20 HIGHLAND FDS I 9,933,095 181,279 1.89%
21 VANGUARD CHARLOTTE FDS 2,991,129 163,136 1.70%
22 ISHARES INC 3,672,726 152,859 1.59%
23 PIMCO ETF TR 1,595,125 148,283 1.54%
24 ISHARES TR 1,200,187 132,777 1.38%
25 SPDR DOW JONES REIT ETF 1,367,455 130,113 1.36%
26 VANGUARD INTL EQUITY INDEX F 2,371,853 126,918 1.32%
27 ISHARES TR 1,036,089 123,108 1.28%
28 SCHWAB INTERMEDIATE-TERM US TREASURY ETF 2,183,351 120,587 1.26%
29 ISHARES MSCI EAFE SMALL CAP IDX FD 2,089,172 104,040 1.08%
30 SELECT SECTOR SPDR TR 4,530,107 101,927 1.06%
31 SPDR SER TR 2,943,707 100,881 1.05%
32 POWERSHARES ETF TRUST 983,903 86,731 0.90%
33 VANGUARD INDEX FDS 416,656 78,565 0.82%
34 SPDR SERIES TRUST 2,188,647 74,962 0.78%
35 DBX ETF TR 2,317,788 59,196 0.62%
36 ISHARES TR 500,914 57,545 0.60%
37 SPDR SER TR 1,106,024 54,568 0.57%
38 VANGUARD WHITEHALL FDS INC 618,883 47,620 0.50%
39 SCHWAB US DIVIDEND EQUITY ETF 1,144,586 45,886 0.48%
40 ISHARES TR 664,477 45,132 0.47%
41 SCHWAB US TIPS ETF 797,672 44,294 0.46%
42 ISHARES TR 982,793 43,174 0.45%
43 POWERSHARES ETF TR II 2,693,001 41,957 0.44%
44 POWERSHARES ETF TR II 1,160,841 41,047 0.43%
45 POWERSHARES ETF TRUST 402,236 37,951 0.40%
46 VANGUARD INDEX FDS 334,059 37,244 0.39%
47 POWERSHARES ETF TR II 1,393,783 36,461 0.38%
48 ISHARES TR 266,065 33,511 0.35%
49 VANGUARD INTL EQUITY INDEX F 346,899 32,393 0.34%
50 SPDR INDEX SHS FDS 839,525 29,442 0.31%
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