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BATES FINANCIAL ADVISORS, INC.

dba BATES FINANCIAL ADVISORS, INC. · CRD 116515 · Registered Investment Adviser

BATES FINANCIAL ADVISORS, INC. is a Registered Investment Adviser headquartered in ROCKFORD, IL. The firm reports $439,211,752 in regulatory assets under management across 1,273 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$438,219,609
Non-discretionary$992,143
Total RAUM$439,211,752
Accounts1,273

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 116515. adviserinfo.sec.gov/firm/summary/116515.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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