Scott Babbitt
Scott Babbitt is a registered investment advisor at Sb Advisory, LLC, based in Laguna Niguel, CA, with 26 years of industry experience. Scott is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 2,744 clients with $1.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 2.50% |
| $500K - $1.0M | 2.00% |
| $1.0M - $2.0M | 1.75% |
| $2.0M - $5.0M | 1.50% |
| $5M+ | 1.25% |
Fees are negotiable. Third-party manager programs charge an additional fee up to 1.25% with total fees not to exceed 2.50%.
Fee Estimator
Location
Laguna Niguel, CA
Get directionsHistory
Regulatory History (8)
Judgment / Lien
October 2025Judgment / Lien
October 2024Judgment / Lien
February 2024Judgment / Lien
October 2023Customer Dispute
January 2021Employment Separation After Allegations
October 2019Judgment / Lien
February 2012Judgment / Lien
January 2011Other Business ActivitiesSells Insurance
Scott is a life insurance agent since April 2024, earning commission and fee-based compensation. He is also an advisor affiliated with International Assets Investment Management LLC since April 2024, earning fee-based compensation.
Employment History
Current Registrations
Sb Advisory, LLC
San Blas Securities LLC
San Blas Securities LLCBroker
Previous Registrations
International Assets Advisory, LLCBroker
International Assets Investment Management, LLC
Crown Capital Securities, L.P.
Crown Capital Securities, L.P.Broker
LPL Financial LLCBroker
Trilogy Capital, INC.
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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