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BATES FINANCIAL ADVISORS, INC.
CRD 116515 · SEC 801-72191
8437 NORTHERN AVE, ROCKFORD, IL, 61107, United States
Phone
815-332-4020
Fax
815-332-4002
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$439.2M
Discretionary AUM
$438.2M
Team
5 total employees; 5 advisory reps
Clients
26-50
Fees
Percentage of AUM; Fixed fees
Org form
Corporation
Filing date
2026-04-01
Disciplinary history
No
Services
Financial planningPortfolio management (individuals)
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 267 | $126.2M |
| High net worth individuals | 130 | $311.8M |
| Charitable organizations | 2 | $1.2M |
States served
AZ, CA, CO, IL, IN, IA, TN, WI, MO, TX, FL
All web addresses on file
Official SEC filing: View on IAPD