DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Babb Wealth Advisors LLC
Latest filing Mar 19, 2026
First filing on the tape Apr 18, 2022 · 23 filings
SEC status approved since May 18, 2022
RAUM
$209M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$209M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$69.8M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$209M as of Mar 19, 2026
Mar 11, 2023$106M then
HNW client RAUM$74.3M as of Mar 19, 2026
Mar 11, 2023$52.3M then
State-registered IARs (5.B.3)3 as of Mar 19, 2026
Mar 11, 20233 then
Employees (5.A)8 as of Mar 19, 2026
Mar 11, 20235 then
Private funds: no history
RAUM +49% over the last fiscal year+25% a year over threeIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $69.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 116derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $917,192derivedHNW RAUM over HNW clients
- Average account
- $225,926derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +49%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $193MreportedItem 5.I
- Custody
- $144M, 283 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$135M64%
- High-net-worth individuals$74.3M35%
- Pension and profit-sharing plans$332,5000.2%
- Charitable organizations$105,5900.1%
- Individual clients
- 266reported
- HNW clients
- 81reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 927reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $144M for 283 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Travis Christopher BabbCertified Financial Planner | Flagstaff, Az | Oct 19, 2018 | 18 y | 2 |
| Kathleen Marie SchroederCertified Financial Planner | Flagstaff, Az | Oct 19, 2018 | 17 y | 1 |
| Michael Walsh GormanCertified Financial Planner | Flagstaff, Az | Jan 8, 2024 | 14 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Michael Walsh Gorman from Experience Your Wealth, LLCJan 8, 2024 · RIA to RIA
- Travis Christopher Babb from Investment Advisors CorpOct 19, 2018 · Affiliated broker-dealer or bank to independent RIA
- Kathleen Marie Schroeder from Investment Advisors CorpOct 19, 2018 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Investment Advisors CorpOct 19, 2018 · Flagstaff, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Christopher Travis Babb · Managing Membercontrolsince 07/2018 · owns 75% or more
- Marie Kathleen Schroeder · Chief Compliance Officercontrolsince 07/2018 · owns less than 5%
Related persons
Schedule D 7.A
- Babb Financial Group, LLCreal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Flagstaff, Az · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 19, 2026RAUM (Item 5.F) moved from $140,938,817 to $209,433,327 (+49.0%) between the annual amendments of 2025-03-31 and 2026-03-19; the peer median change was +15.0% (4550 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 95% percentile
- HNW share shiftChange between filings · filing Mar 19, 2026HNW share of RAUM moved from 60.0% to 35.0% between the annual amendments of 2025-03-31 and 2026-03-19peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 810 to 927Aug 13, 2025 to Mar 19, 2026
- Charity clients · 1.0 to unsetAug 13, 2025 to Mar 19, 2026
- HNW clients · 62 to 81Aug 13, 2025 to Mar 19, 2026
- Individual clients · 245 to 266Aug 13, 2025 to Mar 19, 2026
- Pension plan clients · 2.0 to unsetAug 13, 2025 to Mar 19, 2026
- Assets in custody · $92.0M to $144MAug 13, 2025 to Mar 19, 2026
- Discretionary RAUM · $141M to $209MAug 13, 2025 to Mar 19, 2026
- HNW RAUM · $84.0M to $74.3MAug 13, 2025 to Mar 19, 2026
- Individual RAUM · $56.8M to $135MAug 13, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $0 to $332,500Aug 13, 2025 to Mar 19, 2026
- Pension RAUM · $97,358 to $332,500Aug 13, 2025 to Mar 19, 2026
- RAUM · $141M to $209MAug 13, 2025 to Mar 19, 2026
- Employees · 6 to 8May 21, 2025 to Aug 13, 2025
- Other offices · 0 to 1May 21, 2025 to Aug 13, 2025
- Advisory activities · 3 to 4Mar 31, 2025 to May 21, 2025
- Financial planning clients · 101-250 to 101-250Mar 31, 2025 to May 21, 2025
- Related insurance company · false to trueMar 31, 2025 to May 21, 2025
- Accounts · 697 to 810Aug 27, 2024 to Mar 31, 2025
- Advisory activities · 2 to 3Aug 27, 2024 to Mar 31, 2025
- HNW clients · 61 to 62Aug 27, 2024 to Mar 31, 2025
- Individual clients · 246 to 245Aug 27, 2024 to Mar 31, 2025
- Pension plan clients · 0 to 2Aug 27, 2024 to Mar 31, 2025
- Assets in custody · $71.9M to $92.0MAug 27, 2024 to Mar 31, 2025
- Employees · 5 to 6Aug 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to 101-250Aug 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $117M to $141MAug 27, 2024 to Mar 31, 2025
- HNW RAUM · $69.7M to $84.0MAug 27, 2024 to Mar 31, 2025
- Individual RAUM · $46.7M to $56.8MAug 27, 2024 to Mar 31, 2025
- Pension RAUM · $0 to $97,358Aug 27, 2024 to Mar 31, 2025
- RAUM · $117M to $141MAug 27, 2024 to Mar 31, 2025
- Accounts · 682 to 697Jan 11, 2024 to Mar 28, 2024
- Charity clients · 0 to 1Jan 11, 2024 to Mar 28, 2024
- Corporate clients · 1 to 0Jan 11, 2024 to Mar 28, 2024
- HNW clients · 35 to 61Jan 11, 2024 to Mar 28, 2024
- Individual clients · 286 to 246Jan 11, 2024 to Mar 28, 2024
- Assets in custody · $72.0M to $71.9MJan 11, 2024 to Mar 28, 2024
- Discretionary RAUM · $106M to $117MJan 11, 2024 to Mar 28, 2024
- HNW RAUM · $52.3M to $69.7MJan 11, 2024 to Mar 28, 2024
- Individual RAUM · $51.2M to $46.7MJan 11, 2024 to Mar 28, 2024
- RAUM · $106M to $117MJan 11, 2024 to Mar 28, 2024
Signals
1 dated events
- Babb Wealth Advisors Llc filed its initial SEC registration (Form ADV)Apr 18, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- babbgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 928-526-2911reportedpublic record, Form ADV, Mar 19, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $69.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026