Maximize the
possibilities
ahead
Making a
difference is in your
organization’s DNA.
Your unique vision and financial assets help multiply the
possibilities for individuals, families, and entire communities.
But maximizing the investments that further your mission
takes more than just passion and strong purpose.
Along with personalized
support, insight, and guidance
from your independent advisor,
you need an experienced financial
custodian that delivers innovative
technology and a broad range of
customizable solutions.
With advanced custodial
support from Schwab, you
and your advisor gain stronger
capabilities and more options for
designing your wealth portfolio—
so your institution can focus on
bringing value to the people and
organizations you serve.
Schwab Advisor Services 1
Industry expertise can
set you up to succeed
Our institutional expertise runs deep
Schwab Advisor Services™ supports thousands of organizations
like yours. Our institutional clients include universities, hospitals,
foundations, and government entities. Working with Schwab gives you
and your advisor flexible access to resources across the spectrum
of securities brokerage services, banking,* money management, and
financial advisor support through our affiliates and subsidiaries.
$165B
$39B
custodied in
institutional
accounts3
in endowment
accounts4
$25B
$75B
in charity nonprofit
accounts; another
$5 billion in donoradvised charity accounts5
in corporate and
limited liability
company accounts5
The power in numbers: Schwab’s industry presence
• M
ore than 25 years of experience providing custodial,
operational, and trading support to advisors and their clients
• T
he industry’s leading custodian for independent advisors, with
more than $1.2 trillion in assets and over 2.8 million accounts1
• M
ore independent advisor assets custodied than our top three
competitors combined2
As of August 31, 2016.
RIA Marketplace 2014: Growth Drivers in an Accelerating Industry Segment,
Cerulli Associates.
3
As of March 31, 2016. Excludes qualified retirement assets.
4
As of March 31, 2016. Endowment account based on NAICS code associated with
each account.
5
As of December 31, 2015.
1
*Banking services provided by Charles Schwab Bank®, Member FDIC.
Transparent fee structure
At Schwab, we continue to eliminate platform,
administrative, and account service fees. All costs are
transparent—so you know exactly what you’re paying for.
2
Schwab Advisor Services 2
Managed
accounts
Greater open architecture options
The work you do is one-of-a-kind. Your investment strategy should be
too. Schwab’s open architecture platform—one of the largest trading
platforms in the industry—gives you and your advisor the flexibility and
expansive trading options you need to help grow your assets.
Cash
investments
Alternative
investments
Products and
services
Expertise and support in one place
Our trading platform is backed by over 100 professionals with decades
of experience in the industry. Through our trading desk, you and your
advisor have access to Schwab’s knowledgeable, dedicated teams
for equities, fixed income, and mutual funds. These professionals can
support you and your advisor with the latest insights and resources to
help you make timely, intelligent investment choices.
Fixed income
investments
Prime broker
services
Restricted
stock
services
Mutual funds
and exchangetraded funds
Equities
Philanthropic services
A leading donor-advised fund for over 15 years, Schwab Charitable™ can help differentiate your current
charitable offering and make philanthropic giving simple for you and your advisor. Our philanthropic services
include grant distribution; tax receipt consolidation; and help with receiving donations, such as accepting
complex assets and identifying donors on every contribution received.
For more details on how we can help make your charitable giving simpler and tax-smart with a Schwab
Charitable account, please visit www.schwabcharitable.org.
Schwab Charitable is the name used for the combined programs and services of Schwab Charitable Fund™, an independent nonprofit organization. The Schwab
Charitable Fund has entered into service agreements with certain affiliates of The Charles Schwab Corporation.
Schwab Advisor Services 3
Reporting and
cost-basis resources
In addition to meeting your
internal reporting requirements,
you rely on up-to-date financial
data to keep board members,
regulatory agencies, and
stakeholders informed. Schwab’s
reliable, comprehensive tools and
reporting services can help your
advisor create tailored reports
to streamline your financial
management tasks—and take
your institution further.
As your custodian, Schwab
will provide tax and regulatory
reports to complement the
portfolio performance reports
prepared by your advisor.
6
Complex reporting
support for your advisor
Covering your cost-basis
reporting needs
Depending on the volume and
complexity of your assets, you
may need regular support and
adjustments to cost basis. Our
specialized Advisor Services Client
Reporting team can support your
advisor by answering questions
and maximizing Schwab’s services
to help address your complex
reporting needs.
We support your advisor
with alerts and reporting
services that include:
• Wash sales
• R
eclassification
of dividend income
• C
ost basis for
alternative investments
If you and your advisor require
a greater level of reporting
sophistication, we can provide
you with access to an institutional
reporting platform designed
to meet your specialized dataaggregation requirements.6
Provided by Schwab Performance Technologies®, a subsidiary of The Charles Schwab Corporation.
Schwab Advisor Services 4
Convenient anytime,
anywhere access
As your first point of contact, your
advisor provides expert guidance
and insight for all your day-today needs. Schwab’s on-call
customer service teams provide
24/7 access to information that
enables you and your advisor to
work more effectively.
From help with an audit to
trust services, our in-house
professionals are available to
answer your questions and
support you and your advisor
when you need it.7
Reclaim your time—and create peace of mind—with
anytime access to online tools and resources on our
secure website for clients of advisors, Schwab Alliance,
which allows you to view and manage your assets
whenever you want.
obile access. Keep track of key information on
M
the go and access financial tools via Schwab’s
mobile application.
lectronic approvals. Approve forms or wires online
E
or through your mobile device, without the hassle
of paper.
aperless documents. Enroll in paperless delivery
P
of important documents, including statements,
confirmations, and regulatory materials.
arket research. Review market commentary,
M
view white papers, create watch lists, and more.
iew Only access. Grant authorized individuals
V
non-transaction “view only” access to your accounts.
Access to Electronic Services may be limited or unavailable during periods of peak demand, market volatility, systems upgrade, maintenance,
or for other reasons. System availability and response times are subject to market conditions and mobile connection limitations.
7
Corporate trustee services provided by Charles Schwab Trust Company of Delaware.
Schwab Advisor Services 5
Security measures
and fraud prevention
Our approach to safeguarding your
assets, protecting your account
information, and preventing fraud
is anchored by multiple levels of
physical and digital security.
Privacy
We proactively protect your
personal information and
maintain strict controls over
how your data is used, shared,
and accessed. This includes
computer safeguards as well as
secured files and buildings. To
view our privacy policy and learn
more about our protections, visit
www.schwab.com/privacy.
Asset safety and insurance
Federal law requires that
Schwab segregate client assets
from Schwab’s own assets.
Additionally, client assets must be
deposited in accounts that are not
subject to liens. Your investments
custodied with Schwab are also
protected by SIPC for securities
and cash in the event of brokerdealer failure.
Schwab’s multistep approach to
safeguarding your information and accounts:
Evaluate
transaction risk
Suspicious activity
notifications
Conduct fraud and
security checks
To learn more about our asset
safety and insurance policies, visit
www.schwab.com/public/schwab/
nn/sipc_account_protection.html.
System reliability
We regularly test the Schwab Advisor
Services™ backup systems to help
ensure uninterrupted access to your
accounts. For more details on the
steps we take to mitigate service
disruptions, visit www.schwab.com/
businesscontinuity.
Monitor
accounts 24/7
Fraud trend
and prevention
education
For more details on how we help keep your institution’s
personal and financial information secure online, visit
www.schwab.com/schwabsafe.
Schwab Advisor Services 6
A proven leader
at your service
Schwab Advisor Services™ delivers
industry-leading experience, deeply
personalized service, comprehensive
investment products, and innovative
technologies to help your institution
do more with its wealth. Our people
are game changers. They’re passionate
about delivering solutions for your unique
needs to help you and your advisor
fulfill your vision.
Schwab Advisor Services 7
Talk to your advisor
for more information
and guidance about
custodying your
assets with Schwab.
Brokerage Products: Not FDIC-Insured • No Bank Guarantee • May Lose Value
Charles Schwab & Co., Inc. and Charles Schwab Bank are separate but affiliated companies and subsidiaries of The Charles Schwab
Corporation. Brokerage products are offered by Charles Schwab & Co., Inc., Member SIPC. Deposit and lending products and services are
offered by Charles Schwab Bank, Member FDIC and an Equal Housing Lender.
Registered Investment Advisors are independent and are not employees or agents of Charles Schwab & Co., Inc. and its affiliates.
Schwab Advisor Services does not provide legal, regulatory, or compliance advice to independent RIA firms.
Charles Schwab & Co., Inc. provides custody and trading, as well as access to technology and other support services, to independent
investment advisors.
Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.
©2016 Charles Schwab & Co., Inc. (“Schwab”). All rights reserved. Member SIPC.
AHA (1116-LUBU) MKT95028-00 (12/16)