Charles Schwab Investment Management, Inc.

Firm Profile

Charles Schwab Investment Management, Inc. (CSIM), one of the nation’s largest and most experienced asset managers, has partnered with clients for more than 25 years to provide foundational products with investors’ needs in mind. CSIM’s dedicated and experienced DCIO team builds relationships with consultants, advisors and recordkeepers, by educating them on industry trends and how our high-quality, low-cost foundational products can be used to build strong and diverse portfolios, that aim to deliver consistent performance. Also in line with plan fiduciary priorities, CSIM strives to make investing less complicated with a straightforward approach that gives investors what they want and need, without unnecessary confusion. CSIM is an industry leader in proprietary mutual funds, exchange-traded funds and collective trust funds. We encourage comparing our funds to any others—both in terms of product design and cost.
To learn more about the Schwab Managed Retirement Trust Funds™ and the Schwab Indexed Retirement Trust Funds® (both Charles Schwab Bank Collective Trust Funds for which CSIM provides non-discretionary advisory services) please also visit SchwabBankFunds.com.

KEY CONTACTS
Neil Hickey, (617) 960-5217, Neil.Hickey@schwab.com
PRIMARY MARKET(S) SERVED
Micro (< $1 million)
Small ($1 million – $10 million)
Mid ($10 million – $100 million)
Large ($100 million – $250 million)
Mega (>$250 million)

TOTAL AUM ($MM)
As of 6/30/16: $283,900 MM

TOTAL DCIO ASSETS ($MM)
As of 6/30/16: $4,269 MM

DCIO ASSET BREAKDOWN (BY %)
Collective trusts: 68%
Mutual funds: 32%

ASSET ALLOCATION FUNDS
• Schwab Target Index Funds
• Schwab Target Funds
• Schwab Managed Retirement
Trust Funds™
• Schwab Indexed Retirement Trust Funds®
• Schwab MarketTrack Portfolios™
• Schwab® Monthly Income Funds
• Schwab Balanced Fund™

TOP 5 FUNDS BY DC ASSETS
1. Schwab Managed Retirement Trust Funds™
2. Schwab® S&P 500 Index Fund
3. Schwab 1000 Index® Fund
4. Schwab Total Stock Market Index Fund®
5. Schwab Indexed Retirement Trust Funds®

ADVISOR SUPPORT SERVICES
• External wholesalers focused on advisors
• External wholesalers focused on institutional
• Compliance support
• Target-date evaluation tools
• Training for DC plan sales/service
• Investment committee meetings

NO. OF EXTERNAL WHOLESALERS
DC: 15