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Client accounts at Penta Wealth Management are held with The Charles Schwab Corporation (“Schwab”), one of the nation’s premier providers of financial services. With Schwab’s global strength, capabilities, and resources, combined with the personalized solutions of a family office private wealth management practice, our clients benefit from the best of both worlds.

Together, the PWM expertise and Schwab’s custodial services form a powerful alliance dedicated to helping our clients navigate the complexities of wealth management and achieve their long-term objectives.

About the Charles Schwab Corporation

With $7.38 trillion in total client assets, The Charles Schwab Corporation offers an open architecture platform of competitively priced ETFs, mutual funds, and separately managed account strategies designed to best serve an investor’s central needs.

Charles Schwab Commitments
  • Financial strength and stability
  • A commitment to the principles of safety, soundness, and transparency
  • Champion of clients
  • Sound business practices designed to safeguard assets
  • Comprehensive strategies designed to protect accounts
  • Committed to client privacy
A Winning Relationship with Charles Schwab

For more than 35 years, Charles Schwab has helped investment advisors deliver an exceptional experience to their clients. By leveraging Schwab’s expertise and cutting-edge technology, we can provide our clients with unparalleled visibility into their investments. From detailed reports to online and mobile account access, our clients have the tools they need to review their portfolio’s progress quickly and easily.

Experience and expertise—on your side 
  • A broad range of investment solutions
  • Technology built to work for you
  • Sophisticated wealth management solutions
  • Safeguards designed for you
  • Strength and scale for long-term financial health
  • Strict privacy and security standards
 
The Measures Taken to Protect Client Assets
  • Keeping client securities separate from broker-dealer securities
    • Client securities—such as stocks and bonds that are fully paid for or excess margin securities—are segregated from broker-dealer securities, in compliance with the SEC’s Customer Protection Rule. This is a legal requirement for all broker-dealers
 
  • SIPC account protection
    • The Securities Investor Protection Corporation (SIPC) is a nonprofit membership corporation created in 1970 by a federal statute, the Securities Investor Protection Act, to protect investments and increase investor confidence. SIPC protects customers of SIPC-member broker-dealers if a firm fails financially and assets are missing.
 
  • FDIC coverage
    • The Federal Deposit Insurance Corporation (FDIC) is a U.S. federal agency that protects investors against the loss of their deposit accounts (such as checking and savings) in the event of the failure of an FDIC-insured bank. All deposit accounts held at Schwab Bank, including the Schwab Bank Investor CheckingTM account and the Schwab Bank Investor SavingsTM account, are FDIC-insured up to the applicable limits.

Disclosure: Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. (“Schwab”). Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

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Penta Wealth Management

info@pentawm.com
57 River Street, Suite 301, Wellesley, MA 02481

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Investments Held with Charles Schwab & Co.

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Penta Wealth Management is proud to announce that we have been named as one of the Top Wealth Management Services Providers of 2023 by Banking CIO Outlook. The list recognizes the top firms who are at the forefront of delivering wealth management services and was determined using market research focused on peer/client recommendations and best practices. We are honored by this acknowledgment and proud of our team’s commitment to excellence.

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