Bates Financial Advisors, Inc.
● SEC registered since 2011CRD 116515SEC# 801-72191Rockford, IL
Reg. AUM
$439.2M
Employees
5
Accounts
1,273
Location
Rockford, IL
Bates Financial Advisors, Inc. assets under management
Bates Financial Advisors, Inc. is a registered investment adviser overseen by the SEC based in Rockford, IL. The firm has been registered since 2011. It reports $439.2 million in regulatory assets under management and employs 5 people.
Bates Financial Advisors, Inc. owners & executives
3 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Carol Eveline Bates | Secretary | Under 5% | 2020 |
| George Douglas Bates Control | Managing Principal, Chief Compliance Officer | Under 5% | 2025 |
| George Ernest Bates Control | President | Over 75% | 1984 |
Frequently asked questions
How much does Bates Financial Advisors, Inc. manage?
Bates Financial Advisors, Inc. reports $439.2 million in regulatory assets under management on its Form ADV.
How many employees does Bates Financial Advisors, Inc. have?
Bates Financial Advisors, Inc. reports 5 employees.
Where is Bates Financial Advisors, Inc. located?
Bates Financial Advisors, Inc. is based in Rockford, IL and has been SEC-registered since 2011.
Does Bates Financial Advisors, Inc. disclose fund performance?
Bates Financial Advisors, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 8437 Northern Ave, Rockford, IL 61107 |
| Phone | 815-332-4020 |
| Fax | 815-332-4002 |
| Office hours | 8 a.m. - 5 p.m. |
| SEC region | Chicago Regional Office (CHRO) |
| Discloses disciplinary history | No |
Regulatory AUM
$439.2M▲ 11%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 51%
Larger than 49% of 16,271 advisers
EmployeesTop 62%
More than 38% of 16,825 advisers
Assets under management
$439.2Mregulatory AUM
Discretionary $438.2MNon-discretionary $992K