Kathleen Schroeder
Kathleen Schroeder is a CFP-designated registered investment advisor at Babb Wealth Advisors LLC, based in Flagstaff, AZ, with 10 years of industry experience. Kathleen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, High Net Worth, Insurance Planning, Investment Management, and 2 more. Their firm serves 347 clients with $210M 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 $250K | 1.00% |
| $250K - $1.0M | 1.00% |
| $1.0M - $2.0M | 0.90% |
| $2.0M - $3.0M | 0.80% |
| $3.0M - $4.0M | 0.75% |
| $4.0M - $5.0M | 0.65% |
| $5M+ | 0.50% |
Fees are negotiable. For the first $250,000, the annual fee is a fixed $2,500 billed quarterly in advance.
Fee Estimator
Location
1117 W. Route 66, Flagstaff, AZ, 86001
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Kathleen is an insurance producer with Babb Financial Group, LLC, offering insurance advice and products. This takes about a quarter of her time, with about 10-20% of her time spent during securities trading hours.
Employment History
Current Registrations
Babb Wealth Advisors LLC
Previous Registrations
Investment Advisors CORP
State Registrations2 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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