HOLOS asset management

When the expertise of Holos Asset Management is combined with custody at Schwab, we share a common goal: to protect and grow your assets.

Holos Asset Management has access to comprehensive services from one of the most experienced firms in the business. Schwab was a pioneer in the business of exclusively serving independent, fee based advisors and their clients. Schwab Institutional serves over 5,500 independent advisors as the custodian for their affluent clients. More than 1.6 million client accounts at custodied at Schwab, which represents over $580 billion in assets managed by investment advisors. More than 1,800 Schwab Institutional employees are dedicated to providing responsive custody, trading and operational support to investment advisors across the country.

Schwab believes that asset security matters. As a registered broker-dealer, Schwab is subject to the rules and regulations of the Securities Exchange Commission, the National Association of Securities Dealers, the Municipal Securities Rulemaking Board and all other exchanges of which Schwab is a member. These regulatory entities have established financial responsibility rules designed to help safeguard your assets. SEC Rule 17a-5 requires all registered broker/dealers to routinely file periodic reports – regulatory and surveillance information providing accurate detail of their current financial and operational condition. Schwab files these reports monthly and quarterly for full disclosure of the state of the company. Since Schwab is a member of the Securities Investor Protection Corporation (SIPC), the assets that you place with Schwab is insured by this entity- up to $500,000 of protection for each separate account capacity you have, with a limit of $100,000 for claims of uninvested cash. Schwab provides additional account protection through Underwriters at Lloyd’s of London. Under the Lloyd’s of London policy, the additional protection of securities and cash is provided up to an aggregate of $600 million, limited to a combined return to any customer from a Trustee, SIPC, and Lloyd’s of $150 million, including cash up to $1 million. This protection becomes available in the event that SIPC limits are exhausted. Account protection does not cover fluctuations in the market value of your securities.