BATES FINANCIAL ADVISORS, INC. (CRD# 116515) is an SEC-Registered Investment Advisor (RIA), headquartered in Rockford, IL. The SEC approved the firm to operate as an RIA in Feb 2011. In Apr 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $374.8 Million, and has discretion over 99% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .  
BATES FINANCIAL ADVISORS, INC. also reported in Apr 2018:
  • 4 employees, all of whom perform advisory functions.
  • A total of 3 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
BATES FINANCIAL ADVISORS, INC. has no disclosure events reported to the SEC at this time.

View BATES FINANCIAL ADVISORS, INC.'s most recent Form ADV filing

BATES FINANCIAL ADVISORS, INC. has Notice Filings with the following State Securities Authorities: AZ-Feb 2011, FL-Feb 2011, IL-Feb 2011, MI-Apr 2018

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