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 held advisory corporation that has been SEC-registered since 2011. The firm serves both individual and family clients as well as institutional accounts, focusing primarily on financial planning and discretionary portfolio management for individuals and small businesses. Compensation is charged via a mix of percentage-of-AUM fees and fixed fees. The adviser reports affiliations with a broker‑dealer, a law firm, and an insurance company. Bates does not position itself as an ESG-focused manager, is not organized as a multi‑state adviser, and does not identify as a pension consultant or related adviser.
Assets & Accounts
Public Holdings
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 1GEORGE BATES
President, Chief Compliance OfficerCRD 14642
Contacts
3 of 3JOHN 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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