0001085146-13-000872.txt : 20130510 0001085146-13-000872.hdr.sgml : 20130510 20130510142556 ACCESSION NUMBER: 0001085146-13-000872 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130510 DATE AS OF CHANGE: 20130510 EFFECTIVENESS DATE: 20130510 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Charles Schwab Investment Advisory, Inc. CENTRAL INDEX KEY: 0001501902 IRS NUMBER: 271073440 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14153 FILM NUMBER: 13832699 BUSINESS ADDRESS: STREET 1: 211 MAIN ST. CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 415-667-0897 MAIL ADDRESS: STREET 1: 211 MAIN ST. CITY: SAN FRANCISCO STATE: CA ZIP: 94105 13F-HR 1 schwabadvisory1q2013.txt CHARLES SCHWAB INVESTMENT ADVISORY, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2013 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 Street San Francisco, CA 94105 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: James Peterson Title: Chief Investment Officer, CSIA Phone: 415-667-0879 Signature, Place, and Date of Signing: /s/ James Peterson San Francisco, CA April 19, 2013 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 31 Form 13F Information Table Value Total: $2,304,586 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 266 65000 SH SOLE 65000 0 0 ISHARES TR AGENCY BD FD 464288166 1262 11125 SH SOLE 11125 0 0 ISHARES TR BARCLYS 3-7 YR 464288661 38236 309629 SH SOLE 309629 0 0 ISHARES TR BARCLYS 7-10 YR 464287440 10473 97573 SH SOLE 97573 0 0 ISHARES TR BARCLYS CR BD 464288620 120543 1070831 SH SOLE 1070831 0 0 ISHARES TR BARCLYS INTER CR 464288638 48351 435047 SH SOLE 435047 0 0 ISHARES TR BARCLYS MBS BD 464288588 373070 3456275 SH SOLE 3456275 0 0 ISHARES TR BARCLYS TIPS BD 464287176 28519 235175 SH SOLE 235175 0 0 ISHARES TR MSCI EAFE INDEX 464287465 176922 2999689 SH SOLE 2999689 0 0 ISHARES TR MSCI EMERG MKT 464287234 64818 1515495 SH SOLE 1515495 0 0 ISHARES TR MSCI SMALL CAP 464288273 49535 1126817 SH SOLE 1126817 0 0 ISHARES TR RSSL MCRCP IDX 464288869 29391 501038 SH SOLE 501038 0 0 ISHARES TR RUSSELL 1000 464287622 269334 3088334 SH SOLE 3088334 0 0 ISHARES TR RUSSELL 2000 464287655 79264 839395 SH SOLE 839395 0 0 POWERSHS DB MULTI SECT COMM DB BASE METALS 73936B705 37194 2120502 SH SOLE 2120502 0 0 POWERSHS DB MULTI SECT COMM DB OIL FUND 73936B507 108801 4029652 SH SOLE 4029652 0 0 POWERSHS DB MULTI SECT COMM PS DB AGRICUL FD 73936B408 30318 1170598 SH SOLE 1170598 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 45400 1776925 SH SOLE 1776925 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 125460 4506458 SH SOLE 4506458 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 31613 1123860 SH SOLE 1123860 0 0 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 25766 475608 SH SOLE 475608 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 192188 5145606 SH SOLE 5145606 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 27186 832790 SH SOLE 832790 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 56243 1312241 SH SOLE 1312241 0 0 SCHWAB STRATEGIC TR US TIPS ETF 808524870 22955 395569 SH SOLE 395569 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 50287 634055 SH SOLE 634055 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 87257 2122532 SH SOLE 2122532 0 0 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 40355 689832 SH SOLE 689832 0 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 37849 487555 SH SOLE 487555 0 0 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 29910 1228350 SH SOLE 1228350 0 0 WISDOMTREE TRUST JAPN HEDGE EQT 97717W851 65820 1523969 SH SOLE 1523969 0 0