Babb Wealth Advisors Llc
- Regulatory AUM
- $209M
- Discretionary
- $209M
- Clients
- 347
- Avg AUM / client
- $604K
- Accounts
- 927
- Employees
- 8
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 266 | $135M | 64.3% |
| High net worth individuals | 81 | $74.3M | 35.5% |
| Pension and profit sharing plans | Fewer than 5 clients | $333K | 0.16% |
| Charitable organizations | Fewer than 5 clients | $106K | 0.05% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kathleen Marie Schroeder | Chief Compliance Officer | CFP | Jul 2018 (8y) | Less than 5% |
| Travis Christopher Babb | Managing Member | CFP | Jul 2018 (8y) | 75% or more |
| Michael Walsh Gorman | Registered representative | CFP | Jan 2024 (3y) | |
| Spencer Head | Registered representative | Oct 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/19/2026 | 1.03 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Other fees
- • THIRD PARTY MANAGERS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $205M (98% of AUM) Mar 2026
- American Funds Distributors, Inc. $321K (0% of AUM) Nov 2022
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 19, 2026.
View current Form ADV (SEC/IAPD) ↗