Broker-dealer firm · SAN Francisco, CA
Charles Schwab & Co., Inc.
SEC-registered investment adviser · CRD 5393 · SEC 801-29938
At a glance
Charles Schwab & Co., Inc. is an SEC-registered investment adviser based in SAN Francisco, California, with $0 in regulatory assets under management as of its Form ADV filed September 17, 2026. By Form ADV it is a broker-dealer firm, ranked 368th of 391 broker-dealer firms and 16,557th of 17,210 SEC-registered advisers by assets.
Main office 415-667-7000schwab.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $0M
- Rank among broker-dealer firms
- #368 of 391
- Rank among all SEC RIAs
- #16,557 of 17,210
- Rank in California
- #1,809 of 1,873
- Clients
- 0
- Accounts
- 0
- Discretionary
- 0% of AUM
- Employees
- 30,690
- Advisory staff
- 4,127
- Offices
- 450
Owners and executives on its Form ADV
- Dennis Willard HowardManaging Director and Chief Information Officer
- Jeffrey Harold StarrManaging Director, and Operational Services and Principal Operations Officer
- Charles NicholsManaging Director and Broker Dealer & Investment Advisor Chief Compliance Officer
- Jonathan M CraigPresident, Director, Managing Director and Head of Investor Services and Marketing
- Michael Daniel VerdeschiManaging Director and Chief Financial Officer and Principal Financial Officer, Director
- Neesha K HathiManaging Director Head of Wealth & Advice Solutions
- Jonathan Scott BeattyDirector, Managing Director and Head of Advisor Services
Custody and brokerage
Custodian
Charles Schwab & Co., Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Charles Schwab & Co., Inc. is a hybrid RIA: 16,763 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Charles Schwab SG PTE. LTD., Charles Schwab, Hong Kong, Limited and Charles Schwab, U.k., Limited.
- Charles Schwab SG PTE. LTD.
- Charles Schwab, Hong Kong, Limited
- Charles Schwab, U.k., Limited
Disciplinary disclosures
Charles Schwab & Co., Inc. answers yes to 21 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Selecting other advisers
- Other services
How it’s paid
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗schwab.com ↗
AtlasMembers
The full record on Charles Schwab & Co., Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 28 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 4Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Charles Schwab & Co., Inc. manage?
Charles Schwab & Co., Inc. reports $0 in regulatory assets under management, on its Form ADV filed September 17, 2026.
What kind of firm is Charles Schwab & Co., Inc.?
Charles Schwab & Co., Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Does Charles Schwab & Co., Inc. have any disciplinary history?
Charles Schwab & Co., Inc. answers yes to 21 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Charles Schwab & Co., Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-17), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →