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Investment Adviser Firm Summary

CHARLES SCHWAB INVESTMENT ADVISORY, INC. (CRD# 151739 / SEC# 801-70737)
Alternate Names: CHARLES SCHWAB INVESTMENT ADVISORY, INC , CHARLES SCHWAB INVESTMENT ADVISORY, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/05/2009

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 02/13/2018
Alaska 02/13/2018
Arizona 02/13/2018
Arkansas 02/13/2018
California 11/05/2009
Colorado 11/05/2009
Connecticut 02/13/2018
Delaware 11/09/2009
District of Columbia 02/13/2018
Florida 02/13/2018
Georgia 02/13/2018
Hawaii 02/13/2018
Idaho 02/13/2018
Illinois 02/22/2018
Indiana 03/30/2015
Iowa 02/13/2018
Kansas 02/13/2018
Kentucky 02/13/2018
Louisiana 02/13/2018
Maine 02/13/2018
Maryland 02/13/2018
Massachusetts 02/13/2018
Michigan 02/13/2018
Minnesota 02/13/2018
Mississippi 02/13/2018
Missouri 02/13/2018
Montana 02/13/2018
Nebraska 02/13/2018
Nevada 02/13/2018
New Hampshire 02/13/2018
New Jersey 03/09/2018
New Mexico 02/13/2018
New York 02/13/2018
North Carolina 02/13/2018
North Dakota 02/13/2018
Ohio 02/13/2018
Oklahoma 02/13/2018
Oregon 02/13/2018
Pennsylvania 02/13/2018
Puerto Rico 02/13/2018
Rhode Island 02/13/2018
South Carolina 02/13/2018
South Dakota 02/13/2018
Tennessee 02/13/2018
Texas 02/13/2018
Utah 02/13/2018
Vermont 02/13/2018
Virgin Islands 03/30/2018
Virginia 02/13/2018
Washington 02/13/2018
West Virginia 02/13/2018
Wisconsin 02/13/2018
Wyoming 02/13/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser