Anton P. Dorokhin

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CRD#: 5596809

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Anton P Dorokhin was a registered financial professional .

Anton is a previously registered financial professional and started their career in finance in 2008. Anton had worked at 5 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

September 22, 2008 - February 23, 2010

BALLENTINE FINN & CO INC

RIA

CRD#: 108853

WALTHAM, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC | SCHWAB ASSET MANAGEMENT

CRD#: 106753 / SEC#: 801-35905

RIA

Registered Investment Advisory firm - (1/25/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/21/2008

Uniform Investment Adviser Law Examination

Current Firm

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC | SCHWAB ASSET MANAGEMENT

CRD#: 106753 / SEC#: 801-35905

RIA

Registered Investment Advisory firm - (1/25/1990 Approved)

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Contact information

Main Address

9800 Schwab Way, Lone Tree, CO 80124

Mailing Address

Phone number

(800) 650-9744

Established

Firm type

Fiscal year end

# of Employees

877

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CSIM DISCLOSURE BROCHURE (12/11/2025)

Regulatory assets under management

Total Number of Accounts	843,555
AUM (Assets Under Management)	$ 1,436,974,514,828

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/24/2025	Cover Page	Report
01/19/2024	Cover Page	Report
04/17/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Anton P. Dorokhin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

CHARLES SCHWAB INVESTMENT ADVISORY, INC

WINDHAVEN INVESTMENT MANAGEMENT, INC.

BALLENTINE PARTNERS

BALLENTINE FINN & CO INC

Primary Firm SEC Registration

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/21/2008

Current Firm

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

TRUST BUT VERIFY

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