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The IARD/CRD# is used by the Securities & Exchange Commission to provide background information on a firm. Click here to research a firm.

Terms and Conditions×

The information in this Directory is made available to you and other investors by Charles Schwab & Co., Inc. ("Schwab") as a convenience. Inclusion in the Directory does not constitute a recommendation, endorsement or sponsorship of the RIA by Schwab. Each RIA in the Directory is responsible for the content of its own listing, has voluntarily agreed to be included, and does not pay to or receive from Schwab any compensation relating to their listing. The Directory includes some, but not all, of the RIAs that have an agreement with Schwab to provide custody, trading and other support services relating to RIA client accounts that are maintained at Schwab. In order to be listed in the Directory, RIAs must be registered with the SEC or state securities regulators, have had some client assets with Schwab for at least 1 year, and have $35MM in regulatory assets under management as of their last Form ADV registration filing with the SEC or one or more states. The Directory is not all-inclusive and there may be other RIA firms in your area.

By clicking "I Agree" below, you agree that you:
  • Understand the purpose and limitations of the Directory.
  • Acknowledge that Schwab is not referring you to an RIA and is not endorsing or recommending any RIA.
  • Will not rely on a listing in the Directory to make your final decision whether to hire an RIA.
  • Are solely responsible for performing a review of and signing an agreement with an RIA.

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