0001085146-11-000576.txt : 20110512 0001085146-11-000576.hdr.sgml : 20110512 20110511213354 ACCESSION NUMBER: 0001085146-11-000576 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110512 DATE AS OF CHANGE: 20110511 EFFECTIVENESS DATE: 20110512 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: 11833594 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 scia1q2011.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, 2011 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 May 10, 2011 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: 34 Form 13F Information Table Value Total: $2,266,104 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ISHARES TR BARCLYS TIPS BD 464287176 24898 228087 SH SOLE 228087 0 0 ISHARES TR MSCI EMERG MKT 464287234 73670 1513656 SH SOLE 1513656 0 0 ISHARES TR BARCLYS 7-10 YR 464287440 41338 444450 SH SOLE 444450 0 0 ISHARES TR BARCLYS 1-3 YR 464287457 47473 566839 SH SOLE 566839 0 0 ISHARES TR MSCI EAFE INDEX 464287465 220889 3676579 SH SOLE 3676579 0 0 ISHARES TR RUSSELL 1000 464287622 158928 2151451 SH SOLE 2151451 0 0 ISHARES TR RUSSELL 2000 464287655 104284 1238974 SH SOLE 1238974 0 0 ISHARES TR AGENCY BD FD 464288166 1090 9967 SH SOLE 9967 0 0 ISHARES TR MSCI SMALL CAP 464288273 51810 1195436 SH SOLE 1195436 0 0 ISHARES TR S&P NTL AMTFREE 464288414 37378 375844 SH SOLE 375844 0 0 ISHARES TR BARCLYS MBS BD 464288588 252644 2398598 SH SOLE 2398598 0 0 ISHARES TR BARCLYS CR BD 464288620 177645 1702398 SH SOLE 1702398 0 0 ISHARES TR BARCLYS 3-7 YR 464288661 7509 65762 SH SOLE 65762 0 0 ISHARES TR RSSL MCRCP IDX 464288869 29861 561726 SH SOLE 561726 0 0 PIMCO ETF TR 1-5 US TIP IDX 72201R205 55701 1042704 SH SOLE 1042704 0 0 POWERSHS DB MULTI SECT COMM DB OIL FUND 73936B507 84824 2629375 SH SOLE 2629375 0 0 POWERSHS DB MULTI SECT COMM DB BASE METALS 73936B705 20544 841262 SH SOLE 841262 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 111992 3541808 SH SOLE 3541808 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 72616 1954673 SH SOLE 1954673 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 39009 1333634 SH SOLE 1333634 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 153664 5333686 SH SOLE 5333686 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 8822 329806 SH SOLE 329806 0 0 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 2361 48070 SH SOLE 48070 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 15003 300414 SH SOLE 300414 0 0 SCHWAB STRATEGIC TR US TIPS ETF 808524870 7473 145511 SH SOLE 145511 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 28708 948100 SH SOLE 948100 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 46958 588819 SH SOLE 588819 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 25766 1572033 SH SOLE 1572033 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 64183 1704058 SH SOLE 1704058 0 0 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 46001 1765037 SH SOLE 1765037 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 20771 148515 SH SOLE 148515 0 0 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 72623 1792721 SH SOLE 1792721 0 0 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 39478 659839 SH SOLE 659839 0 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 120190 1860522 SH SOLE 1860522 0 0