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BATES FINANCIAL ADVISORS, INC.
CRD 116515File 801-72191
APPROVED
Retail clients
Custody
Filing as of Jun 25, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$439.2M
Below cohort median (national)
Discretionary AUM
$438.2M
Non-discretionary $992K
Clients
399
1,273 accounts
Employees
5
Below cohort median in IL
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Feb 28, 2011
- Principal office
- 8437 NORTHERN AVE, ROCKFORD, IL, 61107
- Phone
- 815-332-4020
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $439.2M
- Discretionary AUM
- $438.2M
- Non-discretionary AUM
- $992K
- Discretionary accounts
- 1,266
- Non-discretionary accounts
- 7
- Total accounts
- 1,273
- AUM per client
- $1.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $1.2M |
| High net worth individuals | 130 | $311.8M |
| Individuals (other than high net worth individuals) | 267 | $126.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.