Join the Marketplace

Action Steps

*Review all information posted in this section.

  1. Contact William Duffy at (212) 403-9256 or william.duffy@schwab.com to discuss making your funds available through Schwab.

  2. Print and complete the Mutual Fund Questionnaire and return it to:
      Charles Schwab & Co., Inc.,
      211 Main Street, Mail Stop SF215FMT-5,
      San Francisco, CA 94105

  3. Along with the completed questionnaire, please provide the following items for each fund to be added:
    • 2 Prospectuses
    • 2 Statements of Additional Information
    • 2 Annual and Semi-Annual Reports
    • 1 current composite Form ADV, Parts I and II or Disclosure Brochure**

  4. **Composite ADV's are those that contain every page within Part I and Part II or Disclosure Brochure, plus all applicable Schedules for every Investment Advisor and every Sub-Advisor. Of particular note are any Schedules, which relate to any affirmative answers to disciplinary questions in ADV item 11. Moreover, if there are any affirmative answers relating to ADV item 11, the advisors are encouraged to provide additional, clarifying explanations over and above what is already included in the corresponding ADV Schedules.
    • NOTE: Incomplete ADV's will delay the review process.

Our review process will be completed in approximately 4 weeks after the above information has been received. Schwab reserves the right in its sole and absolute discretion to determine which mutual funds will be included in the Mutual Fund Marketplace.

When the review process is complete, if Schwab determines to include your fund in the Mutual Fund Marketplace, a relationship manager will be assigned to you and contracts will be mailed to you for signature.

Your fund(s) will be available in the Marketplace within 5-10 business days after contracts have been fully executed and establishment fees paid.

Please note that the Questionnaire includes operational requirements related to participation in the Marketplace. Please review this information carefully.