BABB WEALTH ADVISORS LLC
Adviser information for BABB WEALTH ADVISORS LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 697 | $116.5M |
| Non-Discretionary | 0 | $0 |
| Total | 697 | $116.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 246 | $46.7M |
| HNW Individuals | 61 | $69.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $90,906 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 329602 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMTHIRD PARTY MANAGERS |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 112.6M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| BABB WEALTH ADVISORS LLC WRAP FEE PROGRAM | BABB WEALTH ADVISORS LLC |
Identifiers
| SEC RIA File Number | 801-125695 |
|---|---|
| SEC ERA File Number | 801-125695 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 298347 |
| Legal Entity Identifier | None |
Principal Office
19 W. ASPEN AVENUEFLAGSTAFF
AZ
United States
8:00 AM - 5:00 PM M-TH 8:00 - 12:00 F, 8:00 AM - 5:00 PM M-TH 8:00 - 12:00 F
Tel: 928-526-2911, Fax: (928) 526-8414
Websites
Chief Compliance Officer
KATHLEEN MARIE SCHROEDER
19 W. ASPEN AVENUE
FLAGSTAFF
AZ
United States
Tel:
(928)526-2911
Fax:
(928) 526-8414
K*******@************M
(Full email address available in API data)
Regulatory Contact
TRAVIS CHRISTOPHER BABB
MANAGING MEMBER
19 W. ASPEN AVENUE
FLAGSTAFF
AZ
United States
Tel:
(928)526-2911
Fax:
(928) 526-8414
T*****@************M
(Full email address available in API data)
Industry Affiliates
| BABB FINANCIAL GROUP, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BABB, TRAVIS, CHRISTOPHER | Individual | – | MANAGING MEMBER | 07/2018 | > 75% |
| SCHROEDER, KATHLEEN, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2018 | < 5% |