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Form 13F-HR Charles Schwab Investmen For: Mar 31

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May 17, 2021 10:07 AM EDT

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F COVER PAGE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
Report for the Calendar Year or Quarter Ended: 03-31-2021
Check here if Amendment   Amendment Number:
This Amendment (Check only one.):   is a restatement.
  adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Charles Schwab Investment Advisory, Inc.
Address: 211 MAIN ST.
SAN FRANCISCO , CA94105
Form 13F File Number: 028-14153

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

Person Signing this Report on Behalf of Reporting Manager:
Name: Jonathan De St Paer
Title: President
Phone: 415-667-1910
Signature, Place, and Date of Signing:
/s/ Jonathan De St Paer San Fransico , CA 05-11-2021
[Signature] [City, State] [Date]
Report Type (Check only one.):
X 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.)
  13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).)
  13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)
Form 13F Summary Page
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 144
Form 13F Information Table Value Total: 53,147,992
(thousands)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
028-19636 Charles Schwab Trust Co

List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]
No. Form 13F File Number Name
1 028-19636 Charles Schwab Trust Co

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
ABERDEEN STD PRECIOUS METALS PHYSCL PM BASKET 003263100 11,091 119,683 SH SOLE 119,683 0 0
ABERDEEN STD PRECIOUS METALS PHYSCL PM BASKET 003263100 189 2,038 SH SOLE 1 2,038 0 0
ALPHABET INC CAP STK CL A 02079K305 237 115 SH SOLE 115 0 0
ALPHABET INC CAP STK CL C 02079K107 499 241 SH SOLE 241 0 0
AMAZON COM INC COM 023135106 1,235 399 SH SOLE 399 0 0
APPLE INC COM 037833100 633 5,183 SH SOLE 5,183 0 0
DBX ETF TR XTRACK INTL REAL 233051846 2,598 94,893 SH SOLE 1 94,893 0 0
DBX ETF TR XTRACK INTL REAL 233051846 375,567 13,716,840 SH SOLE 13,716,840 0 0
DBX ETF TR XTRACK MSCI EAFE 233051630 640 26,860 SH SOLE 1 26,860 0 0
DBX ETF TR XTRACK MSCI EAFE 233051630 500,380 20,989,112 SH SOLE 20,989,112 0 0
DBX ETF TR XTRACK USD HIGH 233051432 233,741 4,675,752 SH SOLE 4,675,752 0 0
DBX ETF TR XTRACK USD HIGH 233051432 196 3,925 SH SOLE 1 3,925 0 0
GLOBAL X FDS GLBL X MLP ETF 37954Y343 587 17,730 SH SOLE 17,730 0 0
GLOBAL X FDS US PFD ETF 37954Y657 41,021 1,608,018 SH SOLE 1,608,018 0 0
GLOBAL X FDS US PFD ETF 37954Y657 47 1,845 SH SOLE 1 1,845 0 0
HUMANA INC COM 444859102 243 580 SH SOLE 580 0 0
ICAHN ENTERPRISES LP DEPOSITARY UNIT 451100101 630 11,735 SH SOLE 11,735 0 0
INVESCO EXCH TRADED FD TR II CALIF AMT MUN 46138E206 156,717 5,663,787 SH SOLE 5,663,787 0 0
INVESCO EXCH TRADED FD TR II FTSE RAFI DEV 46138E743 5,765 124,713 SH SOLE 1 124,713 0 0
INVESCO EXCH TRADED FD TR II FTSE RAFI DEV 46138E743 352,592 7,626,903 SH SOLE 7,626,903 0 0
INVESCO EXCH TRADED FD TR II FTSE RAFI EMNG 46138E727 3,190 141,659 SH SOLE 1 141,659 0 0
INVESCO EXCH TRADED FD TR II FTSE RAFI EMNG 46138E727 255,378 11,340,038 SH SOLE 11,340,038 0 0
INVESCO EXCH TRADED FD TR II FTSE RAFI SML 46138E735 2,923 79,873 SH SOLE 1 79,873 0 0
INVESCO EXCH TRADED FD TR II FTSE RAFI SML 46138E735 190,222 5,198,033 SH SOLE 5,198,033 0 0
INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 67,295 3,040,878 SH SOLE 3,040,878 0 0
INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 889 40,192 SH SOLE 1 40,192 0 0
INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 405,942 2,676,483 SH SOLE 2,676,483 0 0
INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 6,218 40,997 SH SOLE 1 40,997 0 0
INVESCO EXCHANGE TRADED FD T FTSE RAFI 1500 46137V597 387,092 2,195,145 SH SOLE 2,195,145 0 0
INVESCO EXCHANGE TRADED FD T FTSE RAFI 1500 46137V597 5,983 33,931 SH SOLE 1 33,931 0 0
INVESCO QQQ TR UNIT SER 1 46090E103 545 1,708 SH SOLE 1,708 0 0
ISHARES GOLD TR ISHARES 464285105 3,615 222,350 SH SOLE 1 222,350 0 0
ISHARES GOLD TR ISHARES 464285105 582,411 35,818,653 SH SOLE 35,818,653 0 0
ISHARES INC CORE MSCI EMKT 46434G103 171,777 2,668,999 SH SOLE 2,668,999 0 0
ISHARES INC CORE MSCI EMKT 46434G103 4,151 64,502 SH SOLE 1 64,502 0 0
ISHARES TR 0-5YR HI YL CP 46434V407 351 7,669 SH SOLE 7,669 0 0
ISHARES TR 3 7 YR TREAS BD 464288661 60 462 SH SOLE 1 462 0 0
ISHARES TR 3 7 YR TREAS BD 464288661 9,943 76,552 SH SOLE 76,552 0 0
ISHARES TR AGGRES ALLOC ETF 464289859 269 4,021 SH SOLE 4,021 0 0
ISHARES TR BROAD USD HIGH 46435U853 418 10,138 SH SOLE 1 10,138 0 0
ISHARES TR BROAD USD HIGH 46435U853 30,691 745,101 SH SOLE 745,101 0 0
ISHARES TR CALIF MUN BD ETF 464288356 267,380 4,304,249 SH SOLE 4,304,249 0 0
ISHARES TR CORE INTL AGGR 46435G672 370 6,736 SH SOLE 1 6,736 0 0
ISHARES TR CORE INTL AGGR 46435G672 29,591 539,384 SH SOLE 539,384 0 0
ISHARES TR CORE MSCI EAFE 46432F842 341 4,737 SH SOLE 4,737 0 0
ISHARES TR CORE S&P500 ETF 464287200 799 2,008 SH SOLE 2,008 0 0
ISHARES TR CORE US AGGBD ET 464287226 47 414 SH SOLE 1 414 0 0
ISHARES TR CORE US AGGBD ET 464287226 325 2,859 SH SOLE 2,859 0 0
ISHARES TR CRE U S REIT ETF 464288521 88,129 1,681,859 SH SOLE 1,681,859 0 0
ISHARES TR CRE U S REIT ETF 464288521 1,757 33,525 SH SOLE 1 33,525 0 0
ISHARES TR GRWT ALLOCAT ETF 464289867 250 4,662 SH SOLE 4,662 0 0
ISHARES TR ISHS 1-5YR INVS 464288646 330 6,042 SH SOLE 6,042 0 0
ISHARES TR MBS ETF 464288588 138,609 1,278,449 SH SOLE 1,278,449 0 0
ISHARES TR MBS ETF 464288588 1,082 9,977 SH SOLE 1 9,977 0 0
ISHARES TR MODERT ALLOC ETF 464289875 238 5,455 SH SOLE 5,455 0 0
ISHARES TR NATIONAL MUN ETF 464288414 312 2,689 SH SOLE 2,689 0 0
ISHARES TR PFD AND INCM SEC 464288687 0 0 SH SOLE 0 0 0
ISHARES TR PFD AND INCM SEC 464288687 988 25,729 SH SOLE 1 25,729 0 0
MICROSOFT CORP COM 594918104 436 1,850 SH SOLE 1,850 0 0
PROCTER AND GAMBLE CO COM 742718109 1,070 7,902 SH SOLE 7,902 0 0
SCHWAB STRATEGIC TR 1 5YR CORP BD 808524714 385 7,543 SH SOLE 1 7,543 0 0
SCHWAB STRATEGIC TR 1 5YR CORP BD 808524714 3 53 SH SOLE 53 0 0
SCHWAB STRATEGIC TR 5 10YR CORP BD 808524698 1 14 SH SOLE 14 0 0
SCHWAB STRATEGIC TR 5 10YR CORP BD 808524698 1,390 27,060 SH SOLE 1 27,060 0 0
SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 1,827,235 57,496,376 SH SOLE 57,496,376 0 0
SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 8,609 270,905 SH SOLE 1 270,905 0 0
SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 11,561 307,300 SH SOLE 1 307,300 0 0
SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 2,044,016 54,333,230 SH SOLE 54,333,230 0 0
SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 1,044,089 26,486,281 SH SOLE 26,486,281 0 0
SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 5,121 129,903 SH SOLE 1 129,903 0 0
SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 654,256 11,598,220 SH SOLE 11,598,220 0 0
SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 2,599 46,074 SH SOLE 1 46,074 0 0
SCHWAB STRATEGIC TR LONG TERM US 808524680 338 7,133 SH SOLE 1 7,133 0 0
SCHWAB STRATEGIC TR LONG TERM US 808524680 1 14 SH SOLE 14 0 0
SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 20,216 391,251 SH SOLE 1 391,251 0 0
SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 4,280,893 82,850,649 SH SOLE 82,850,649 0 0
SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 2,898,134 57,207,531 SH SOLE 57,207,531 0 0
SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 12,505 246,848 SH SOLE 1 246,848 0 0
SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 16,196 526,700 SH SOLE 1 526,700 0 0
SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 2,714,891 88,289,123 SH SOLE 88,289,123 0 0
SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 17,811 554,871 SH SOLE 1 554,871 0 0
SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 3,233,875 100,743,776 SH SOLE 100,743,776 0 0
SCHWAB STRATEGIC TR SCHWB FDT INT SC 808524748 8,658 231,116 SH SOLE 1 231,116 0 0
SCHWAB STRATEGIC TR SCHWB FDT INT SC 808524748 1,655,695 44,199,010 SH SOLE 44,199,010 0 0
SCHWAB STRATEGIC TR US AGGREGATE B 808524839 121 2,241 SH SOLE 2,241 0 0
SCHWAB STRATEGIC TR US AGGREGATE B 808524839 361 6,699 SH SOLE 1 6,699 0 0
SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 572,235 7,847,430 SH SOLE 7,847,430 0 0
SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 3,034 41,611 SH SOLE 1 41,611 0 0
SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 333 2,565 SH SOLE 2,565 0 0
SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 5,814,409 60,547,840 SH SOLE 60,547,840 0 0
SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 25,467 265,197 SH SOLE 1 265,197 0 0
SCHWAB STRATEGIC TR US REIT ETF 808524847 5,187 126,225 SH SOLE 1 126,225 0 0
SCHWAB STRATEGIC TR US REIT ETF 808524847 892,346 21,716,864 SH SOLE 21,716,864 0 0
SCHWAB STRATEGIC TR US SML CAP ETF 808524607 19,477 195,414 SH SOLE 1 195,414 0 0
SCHWAB STRATEGIC TR US SML CAP ETF 808524607 3,931,232 39,442,478 SH SOLE 39,442,478 0 0
SCHWAB STRATEGIC TR US TIPS ETF 808524870 6,184,561 101,121,017 SH SOLE 101,121,017 0 0
SCHWAB STRATEGIC TR US TIPS ETF 808524870 18,843 308,087 SH SOLE 1 308,087 0 0
SPDR SER TR BLOMBRG BRC EMRG 78464A391 347,389 13,350,850 SH SOLE 13,350,850 0 0
SPDR SER TR BLOMBRG BRC EMRG 78464A391 1,297 49,858 SH SOLE 1 49,858 0 0
SPDR SER TR BLOOMBERG BRCLYS 78468R622 1,378 12,662 SH SOLE 1 12,662 0 0
SPDR SER TR BLOOMBERG BRCLYS 78468R622 23 213 SH SOLE 213 0 0
SPDR SER TR NUVEEN BRC MUNIC 78468R721 474,928 9,193,342 SH SOLE 9,193,342 0 0
SPDR SER TR NUVEEN BRC MUNIC 78468R721 759 14,696 SH SOLE 1 14,696 0 0
SPDR SER TR PORTFLI TIPS ETF 78464A656 4,670 152,858 SH SOLE 1 152,858 0 0
SPDR SER TR PORTFLI TIPS ETF 78464A656 391,549 12,816,651 SH SOLE 12,816,651 0 0
SPDR SER TR PORTFOLIO INTRMD 78464A375 719,783 19,856,085 SH SOLE 19,856,085 0 0
SPDR SER TR PORTFOLIO INTRMD 78464A375 9,544 263,281 SH SOLE 1 263,281 0 0
SPDR SER TR PORTFOLIO LN TSR 78464A664 835 21,421 SH SOLE 1 21,421 0 0
SPDR SER TR PORTFOLIO LN TSR 78464A664 7 181 SH SOLE 181 0 0
SPDR SER TR S&P DIVID ETF 78464A763 218 1,850 SH SOLE 1,850 0 0
SPDR SER TR WELLS FG PFD ETF 78464A292 14 331 SH SOLE 1 331 0 0
SPDR SER TR WELLS FG PFD ETF 78464A292 4,208 96,888 SH SOLE 96,888 0 0
TESLA INC COM 88160R101 840 1,257 SH SOLE 1,257 0 0
VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 963 31,386 SH SOLE 1 31,386 0 0
VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 129,383 4,217,177 SH SOLE 4,217,177 0 0
VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 273 3,222 SH SOLE 3,222 0 0
VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 56,493 989,027 SH SOLE 989,027 0 0
VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 21 372 SH SOLE 1 372 0 0
VANGUARD INDEX FDS REAL ESTATE ETF 922908553 232 2,530 SH SOLE 2,530 0 0
VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1 7 SH SOLE 1 7 0 0
VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 543,733 1,492,543 SH SOLE 1,492,543 0 0
VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 11,118 30,518 SH SOLE 1 30,518 0 0
VANGUARD INDEX FDS SMALL CP ETF 922908751 293,143 1,369,315 SH SOLE 1,369,315 0 0
VANGUARD INDEX FDS SMALL CP ETF 922908751 5,092 23,784 SH SOLE 1 23,784 0 0
VANGUARD INDEX FDS TOTAL STK MKT 922908769 679 3,287 SH SOLE 3,287 0 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 240 4,614 SH SOLE 4,614 0 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 10 194 SH SOLE 1 194 0 0
VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 123,024 958,355 SH SOLE 958,355 0 0
VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 2,238 17,432 SH SOLE 1 17,432 0 0
VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 361,939 6,491,021 SH SOLE 6,491,021 0 0
VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 1,559 27,957 SH SOLE 1 27,957 0 0
VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 746,038 13,653,689 SH SOLE 13,653,689 0 0
VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 853 15,612 SH SOLE 1 15,612 0 0
VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 3,285,776 35,319,528 SH SOLE 35,319,528 0 0
VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 15,419 165,747 SH SOLE 1 165,747 0 0
VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 5,509 103,221 SH SOLE 1 103,221 0 0
VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 2,891,912 54,186,090 SH SOLE 54,186,090 0 0
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 232 2,814 SH SOLE 2,814 0 0
VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 3,530 71,889 SH SOLE 1 71,889 0 0
VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 274,345 5,586,330 SH SOLE 5,586,330 0 0
VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 62,754 620,773 SH SOLE 620,773 0 0
VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 81 1,234 SH SOLE 1 1,234 0 0
VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 101,650 1,553,090 SH SOLE 1,553,090 0 0
VISA INC COM CL A 92826C839 201 950 SH SOLE 950 0 0

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