{"url":"https://nivawealth.com/firms/babb-wealth-advisors-298347","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/298347","regulatoryAum":209433327,"crd":"298347","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5561676","suffix":null,"lastName":"BABB","firstName":"TRAVIS","middleName":"CHRISTOPHER"},{"crd":"6737228","suffix":null,"lastName":"GORMAN","firstName":"MICHAEL","middleName":"WALSH"},{"crd":"5731595","suffix":null,"lastName":"SCHROEDER","firstName":"KATHLEEN","middleName":"MARIE"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2022-06-16","regulatoryAum":118977617,"clients":308,"employees":5,"offices":2},{"filedOn":"2023-05-17","regulatoryAum":106066179,"clients":322,"employees":5,"offices":2},{"filedOn":"2024-07-10","regulatoryAum":116511177,"clients":308,"employees":5,"offices":1},{"filedOn":"2025-05-21","regulatoryAum":140938817,"clients":310,"employees":6,"offices":1},{"filedOn":"2026-09-24","regulatoryAum":209433327,"clients":347,"employees":8,"offices":2}],"secFileNumber":"801-125695","legalName":"Babb Wealth Advisors LLC","displayName":"Babb Wealth Advisors","slug":"babb-wealth-advisors-298347","website":"https://babbgroup.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Arizona limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1117 W. 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Babb Wealth Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Babb Wealth Advisors charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Babb Wealth Advisors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Babb Wealth Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Babb Wealth Advisors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Babb Wealth Advisors?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Babb Wealth Advisors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Babb Wealth Advisors?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 24 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/babb-wealth-advisors-298347/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-14","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2047312/000194104026000600/0001941040-26-000600-index.html","totalValue":207487262,"positionCount":19,"top10Share":0.9661039963021922,"top10":[{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"WORLD EX US CORE","cusip":"25434V880","value":45729363,"shares":1241297,"shareType":"SH","priorValue":40999200,"priorShares":1206924},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US COR EQU 2 ETF","cusip":"25434V708","value":39067980,"shares":880703,"shareType":"SH","priorValue":32927836,"priorShares":847345},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US TARGETED 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}