Babb Wealth Advisors LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Babb Wealth Advisors LLC provides ongoing financial planning and discretionary portfolio management to individuals (including high‑net‑worth clients), as well as corporations, pension/profit‑sharing plans, and charitable organizations. The firm prepares a written Investment Policy Statement for each client and offers access to Unified Managed Accounts through Dimensional Fund Advisors and other third‑party services.
The firm follows a passive, diversified, long‑term, factor‑based investment approach that tilts toward value, small‑cap, and profitable companies and uses ETFs, mutual funds, fixed income, real estate funds, and insurance products when appropriate. Babb typically manages accounts on a discretionary basis, documents client risk tolerances in the IPS, and may use model allocations alongside individualized recommendations.
Babb is notable among similar firms for sponsoring and managing a wrap fee program and for multiple affiliated businesses: its owner controls an insurance entity (Babb Financial Group) and an affiliated tax preparation firm (Babb Tax Advisors), with shared personnel and office resources disclosed in the brochure. The firm’s materials also reference third‑party ratings and include client testimonials in advertising, which the brochure and firm disclosures identify as part of its public communications.
Client services
Expertise
Occupation focus
Fee options
$0 - $250,000: Fixed $2,500 annually $250,001 - $1,000,000: 1.00% annually $1,000,001 - $2,000,000: 0.90% annually $2,000,001 - $3,000,000: 0.80% annually $3,000,001 - $4,000,000: 0.75% annually $4,000,001 - $5,000,000: 0.65% annually $5,000,001+: 0.50% annually
Minimum fee: $2,500 annually for assets $0-$250,000
Main office
1117 W. Route 66
Flagstaff AZ 86001
Advisors at this office
3
Most active in
Arizona · California · Colorado · Louisiana · Oregon · Texas
Also doing business as
Babb Financial Group, LLC · Babb Wealth Advisors LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Michael G
CFP®, Series 65
Flagstaff, AZ
Babb Wealth Advisors LLC
Michael Gorman is a CFP® with nine years of industry experience, currently serving as a financial advisor at Babb Wealth Advisors LLC in Flagstaff, AZ. His prior experience includes roles at BKD Wealth Advisors, Facet Wealth, and Experience Your Wealth, LLC. In addition to his advisory work, he is a licensed insurance producer with Babb Financial Group, offering insurance products and advice as part of his business activities. Babb Wealth Advisors LLC provides financial planning and discretionary portfolio management to individuals, corporations, pension plans, and charitable organizations. The firm uses a passive, diversified, factor-based investment approach and offers services including Unified Managed Accounts and wrap fee programs.
Travis B
CFP®, Series 66
Flagstaff, AZ
Babb Wealth Advisors LLC
Travis Babb is a CFP® and Series 66-licensed advisor with 17 years of industry experience. He is the principal at Babb Wealth Advisors LLC, where he has worked since 2018. Prior to that, he was associated with Broker Dealer Financial Services and has been involved with Babb Financial since 2008. Outside of his advisory role, Babb is an owner and insurance producer with Babb Financial Group, LLC. Babb Wealth Advisors LLC provides financial planning and discretionary portfolio management to individuals, corporations, pension plans, and charitable organizations. The firm employs a passive, diversified, long-term, factor-based investment strategy with a focus on value, small-cap, and profitable companies, utilizing ETFs, mutual funds, fixed income, real estate funds, and insurance products where appropriate.
Kathleen S
CFP®, Series 65
Flagstaff, AZ
Babb Wealth Advisors LLC
Kathleen Schroeder is a CFP® with 10 years of industry experience, currently serving as a financial advisor at Babb Wealth Advisors LLC since 2018. She previously worked at Broker Dealer Financial Services Co and Desert Equity Lending, and has been associated with Babb Financial Group, LLC since 2009. In addition to her advisory role, she is a licensed insurance producer affiliated with Babb Financial Group. Babb Wealth Advisors LLC provides financial planning and discretionary portfolio management to individuals, corporations, pension/profit-sharing plans, and charitable organizations. The firm employs a passive, diversified, long-term factor-based investment approach and offers unified managed accounts through third-party providers.
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)