Wesley Chapel, FL Office
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Schwab Wealth Advisory
Enterprise
Firm-wide stats for Schwab Wealth Advisory
About
Schwab Wealth Advisory, Inc. provides non‑discretionary fiduciary investment advice to clients enrolled in the Schwab Wealth Advisory (SWA) program sponsored by Charles Schwab & Co., Inc. Its services include annual financial reviews, retirement and planning discussions, investment recommendations across stocks, bonds, mutual funds, ETFs, and recommendations of separately managed accounts (SMAs) and other point‑in‑time wealth management education.
The firm’s advice is delivered through CS&Co.’s standard asset allocation models and Schwab research tools (including Schwab Equity Ratings®), with SWAI Associates recommending allocations and specific investments but leaving final trading decisions to clients; SWAI conducts at least annual account reviews and does not monitor accounts between reviews or exercise discretionary trading authority. When discretionary management is used, that discretion generally resides with affiliated or third‑party money managers (for example, Schwab Asset Management for Schwab Wealth Portfolios) rather than with SWAI.
Compared with many enterprise wealth managers, SWAI is structured as an internal advisory unit within the Schwab ecosystem and is paid by Charles Schwab & Co. under a cost‑and‑expense plus arrangement rather than contracting and billing clients directly, so SWAI itself does not directly charge percentage‑of‑AUM or fixed fees to clients. The firm also has an uncommon affiliation with a registered futures commission merchant (Charles Schwab Futures and Forex LLC) and does not act as a discretionary portfolio manager or regularly serve certain institutional client types (e.g., corporate, charitable, or pension plans), which distinguishes its operating model from many peers.
Based on Schwab Wealth Advisory
Expertise
Based on Schwab Wealth Advisory
Location
Wesley Chapel FL
Advisors at this office
3
Advisors at this office
James W
CFP®, Series 63, Series 65
Wesley Chapel, FL
Schwab Wealth Advisory
James Watkins is a CFP®-certified financial advisor with 19 years of industry experience. He has worked at Charles Schwab & Co., Inc. and Schwab Wealth Advisory since 2026, and previously held roles at Vanguard Advisers, Inc., Wells Fargo Bank, NA, and TIAA-CREF Institutional Services. He is located in Wesley Chapel, FL. Schwab Wealth Advisory, Inc. provides non-discretionary fiduciary investment advice to clients enrolled in the Schwab Wealth Advisory program, utilizing Schwab’s asset allocation models and research tools. The firm delivers annual financial reviews and investment recommendations while leaving final trading decisions to clients, and operates within the Schwab ecosystem under a cost-and-expense arrangement rather than charging clients directly.
Preston D
CFP®, Series 66
Wesley Chapel, FL
Schwab Wealth Advisory
Preston Duppins III is a CFP®-certified financial advisor with eight years of industry experience, currently with Schwab Wealth Advisory, Inc. He has held roles at several major firms, including JPMorgan Chase Bank, Morgan Stanley, Ernst & Young Investment Advisors LLP, and Fidelity Investments. Preston is based in Wesley Chapel, Florida. Schwab Wealth Advisory, Inc. provides non-discretionary fiduciary investment advice through the Schwab Wealth Advisory program, offering annual financial reviews and investment recommendations using Schwab’s standard asset allocation models and research tools. The firm operates as an internal advisory unit within the Schwab ecosystem and does not exercise discretionary trading authority.
Tiffany L
CFP®, Series 66
Wesley Chapel, FL
Schwab Wealth Advisory
Tiffany Leroy is a CFP® with 18 years of industry experience, currently with Schwab Wealth Advisory Inc. She has worked in various roles within Charles Schwab and USAA-affiliated firms since 2015. Schwab Wealth Advisory, Inc. provides non-discretionary fiduciary investment advice within the Schwab Wealth Advisory program, offering investment recommendations and annual financial reviews using Schwab’s standard asset allocation models and research tools. The firm operates as an internal advisory unit within Charles Schwab and does not charge clients directly for its services.
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