Bates Financial Advisors, Inc.
Firm details
- Headquarters
- Rockford, Illinois
- CRD number
- 116515
- Registered since
- February 28, 2011
- Website
- batesfinancialadvisors.com
- Custodians
- FIDELITY DISTRIBUTORS COMPANY LLC, ALTRUIST FINANCIAL LLC
- Fee structure
- Percentage of AUM, Fixed Fees
- Client types
- HNWI71%
- Individuals28.72%
- Charitable Organizations0.28%
- Services
- Financial PlanningPortfolio Management for Individuals
Firm profile
FINTRXOverview
Bates Financial Advisors, Inc. is a privately owned corporate RIA that has been SEC‑registered since 2011. The firm provides financial planning and portfolio management primarily for individuals, families and small-business owners, and it also serves institutional clients. Fees are charged both as a percentage of assets under management and as fixed fees. Bates maintains industry relationships with broker‑dealers, a law firm and an insurance company and does not describe itself as an active ESG investor.
Assets & Accounts
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds85%
- Cash & Cash Equivalents10%
- Exchange Traded Equities4%
Owners & executives
1 of 1
George Bates
President, Chief Compliance OfficerCRD 14642
Contacts
3 of 3
John Wimbiscus
Financial AdvisorCRD 2771598
Carol Bates
SecretaryCRD 1463859
George Bates
Investment Advisor RepresentativeCRD 1539381
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
Rockford, IL
Winnebago
Location
Rockford, IL
Headquartered in Rockford, IL, anchoring the Rockford-Freeport-Rochelle, IL metro in the Midwest.
- Metro area
- Rockford-Freeport-Rochelle, IL
- Region
- Midwest
- County
- Winnebago
- Address
- 8437 Northern Ave
- Time zone
- CT (UTC-6)
- Office locations
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