firm profile
Bates Financial Advisors, Inc.
Overview
Bates Financial Advisors, Inc. is an SEC registered investment adviser based in Rockford, IL, registered since 2011. It reports $439M in assets under management across 1,273 accounts, with 5 employees. It has 5 investment adviser representatives.
- Reported AUM
- $439M
- Discretionary
- 100%
- Accounts
- 1,273
- Average account
- $345K
- Employees
- 5
- Advisory reps
- 5
- Registered since
- 2011
- Jurisdictions
- 12
As reported in the firm's June 2026 filing.
Contact
1 phone number on file
Practice
- Services
- Client types
- Fee structure
- Fixed Fees and Percentage of Assets
Executive officers 3 of 3
- George Ernest Bates President CRD 14642
- George Douglas Bates Managing Principal, Chief Compliance Officer CRD 1539381
- Carol Eveline Bates Secretary CRD 1463859
Advisory reps 3 of 5
- George E Bates Insurance Agent · Registered Rep · Investment Adviser Rep CRD 14642
- George D Bates Insurance Agent · Registered Rep · Investment Adviser Rep CRD 1539381
- Matthew Douglas Bates Registered Rep · Investment Adviser Rep CRD 8175351
2 more advisory reps, with emails, phones and branch locations
Location
- Headquarters
- 8437 Northern Ave
Rockford, IL 61107 - County
- Winnebago
- Metro area
- Rockford, IL
- Region
- Midwest
Registrations
- SEC registered
- Registered in 12 jurisdictions
- Website: batesfinancialadvisors.com
Every state, with registration dates
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