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Bates Financial Advisors, Inc.

● SEC registered since 2011CRD 116515SEC# 801-72191Rockford, IL
Export (members)
Reg. AUM
$395.6M
Employees
7
Accounts
1,355
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 $395.6 million in regulatory assets under management and employs 7 people.
www.batesfinancialadvisors.comView on SEC.gov ↗

Bates Financial Advisors, Inc. owners & executives

2 reported
NameTitleOwnershipSince
Carol Eveline BatesSecretaryUnder 5%2020
George Ernest Bates ControlPresident, Chief Compliance OfficerOver 75%1984

Frequently asked questions

How much does Bates Financial Advisors, Inc. manage?

Bates Financial Advisors, Inc. reports $395.6 million in regulatory assets under management on its Form ADV.

How many employees does Bates Financial Advisors, Inc. have?

Bates Financial Advisors, Inc. reports 7 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

Address8437 Northern Ave, Rockford, IL 61107
Phone815-332-4020
Fax815-332-4002
Office hours8 a.m. - 5 p.m.
SEC regionChicago Regional Office (CHRO)
Discloses disciplinary historyNo

Assets under management

Discretionary$394.7M
Non-discretionary$946K
Total (RAUM)$395.6M