Babb Wealth Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers. Financial planning was provided to 101–250 clients last fiscal year.
Babb Wealth Advisors reports 347 clients. They include 266 individual clients and 81 high-net-worth individuals. Of its assets, 99.8% ($209M across 924 accounts) are managed with discretion; $333K across 3 accounts are not. A wrap fee program the firm both sponsors and manages holds $193M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 77% | 64% |
| High-net-worth individuals | 23% | 35% |
| Pension and profit-sharing plans | Fewer than 5 | <1% |
| Charitable organizations | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 266 | $135M | 64.3% | $506K |
| High-net-worth individuals | 81 | $74.3M | 35.5% | $917K |
| Pension and profit-sharing plans | Fewer than 5 | $333K | 0.2% | — |
| Charitable organizations | Fewer than 5 | $106K | 0.1% | — |
| Total | 347 | $209M | 100% | — |
- Clients
- 266
- Regulatory AUM
- $135M
- AUM share
- 64.3%
- Avg. per client
- $506K
- Clients
- 81
- Regulatory AUM
- $74.3M
- AUM share
- 35.5%
- Avg. per client
- $917K
- Clients
- Fewer than 5
- Regulatory AUM
- $333K
- AUM share
- 0.2%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $106K
- AUM share
- 0.1%
- Avg. per client
- —
Total
- Clients
- 347
- Regulatory AUM
- $209M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 101–250
Babb Wealth Advisors charges 0.50%–1.00% a year for its Financial Planning Services Fees. The fee is billed in advance and is negotiable.
Fee details and sources
Babb Holdings, LLC owns 75% or more of Babb Wealth Advisors and is in turn owned by Travis Babb (75% or more). The leadership team of Babb Wealth Advisors includes President Travis Babb and Chief Compliance Officer Kathleen Schroeder. It has 8 employees, 3 of them in advisory roles.
Leadership
Travis BabbPresident
Kathleen SchroederChief Compliance Officer
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
Staff
- 8 employees
- 3 in advisory functions
- 3 state-registered reps
- 3 insurance agents
- Owns 75% or more of Babb Wealth Advisors LLC
Babb Holdings, LLC
Control person · since January 2025
- Owns 75% or more of Babb Holdings, LLC
Travis Babb
Control person · since December 2024
Babb Wealth Advisors’ regulatory assets grew 1.8× from $119M (June 2022) to $209M (September 2026); clients rose from 308 to 347 and employees from 5 to 8.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| September 2026 | $209M | 347 | 8 | 2 |
| May 2025 | $141M | 310 | 6 | 1 |
| July 2024 | $117M | 308 | 5 | 1 |
| May 2023 | $106M | 322 | 5 | 2 |
| June 2022 | $119M | 308 | 5 | 2 |
Besides its headquarters, Babb Wealth Advisors has 1 office, with 2 listed addresses in Arizona.
Arizona · 2 listed addresses
- 1117 W. Route 66, FlagstaffHQ
- 431 Az-179, Sedona
Other business names
Babb Wealth Advisors has reported 1 other business name to the SEC.
- Babb Financial Group, LLC
Contact and registration details
- Legal name
- Babb Wealth Advisors LLC
- Headquarters
- 1117 W. Route 66, Flagstaff, AZ 86001
- Website
- babbgroup.com
- Phone
- 928-526-2911
- SEC file
- 801-125695
- Structure
- Arizona LLC
- Fiscal year end
- December
Babb Wealth Advisors uses Charles Schwab ($205M) as custodian for its separately managed accounts. Babb Wealth Advisors has custody of $144M in client assets for 283 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $205M100%
At year end, Babb Wealth Advisors’ separately managed accounts were mostly in funds (92%). Its reported 13F holdings for the quarter ended 30 June 2026 total $207M across 19 positions; the largest are Dimensional ETF Trust (22.0%), Dimensional ETF Trust (18.8%) and Dimensional ETF Trust (15.3%).
What the accounts hold
- Stocks6%
- Funds92%
- Cash1%
Filed values cover 99%. The neutral 1% gap has no reported category.
Reported 13F holdings
- $207M
- Reported 13F value
- 19
- Positions
- 96.6%
- In the 10 largest
- +13.4%
- Value vs. prior quarter
- Dimensional ETF Trust · World EX US Core22.0%
- Dimensional ETF Trust · US Cor Equ 2 ETF18.8%
- Dimensional ETF Trust · US Targeted Vlu15.3%
- Dimensional ETF Trust · US Equi Mark ETF12.4%
- Dimensional ETF Trust · Core Fixe IN ETF10.2%
- Dimensional ETF Trust · Intl Cor Fix ETF6.7%
- Dimensional ETF Trust · Ultr Fix Inc. ETF5.3%
- Dimensional ETF Trust · Shor Dur Fix ETF3.2%
- Dimensional ETF Trust · US Sustainabilty1.4%
- Dimensional ETF Trust · World Equity ETF1.2%
Together, the ten largest are 96.6% of reported value.
How many clients does Babb Wealth Advisors have?
Babb Wealth Advisors has 347 clients and manages $209 million for them, as of September 2026. They include 266 individual clients and 81 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 24 September 2026
What services does Babb Wealth Advisors offer?
Babb Wealth Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Babb Wealth Advisors charge?
Babb Wealth Advisors charges 0.50%–1.00% a year for its Financial Planning Services Fees. The fee is billed in advance and is negotiable.
Source: ADV PART 2A-BABB WEALTH ADVISORS LLC, filed 24 September 2026
Which custodians does Babb Wealth Advisors use?
Babb Wealth Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $205M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 September 2026
How many financial advisors does Babb Wealth Advisors have?
Babb Wealth Advisors has 3 investment adviser representatives registered with state securities authorities, out of 8 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Babb Wealth Advisors invest in?
At the end of its last fiscal year, Babb Wealth Advisors’ separately managed accounts held 92% registered funds (mutual funds, ETFs, BDCs), 6% exchange-traded equities and 1% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Babb Wealth Advisors?
Babb Wealth Advisors is owned through a holding company by Travis Babb. Its direct owner is Babb Holdings, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 24 September 2026
How does Babb Wealth Advisors get paid?
Babb Wealth Advisors is paid through a percentage of assets under management and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Babb Wealth Advisors?
Babb Wealth Advisors’ main office is at 1117 W. Route 66, Flagstaff, AZ 86001. Its phone number is 928-526-2911. Its website is babbgroup.com.