RIA Intel›Advisers›Illinois›BATES FINANCIAL ADVISORS, INC.

BATES FINANCIAL ADVISORS, INC.

Advisory

N·ROCKFORD, IL

Data as of Apr 1, 2026 · Source: SEC Form ADV

Total AUM

$439M

1-Year AUM Growth

-8.1%

3-Year CAGR

-10.2%

Employees

5

Assets Under Management

Total AUM$439M

Discretionary AUM$438M

Non-Discretionary AUM$992K

Discretionary %99.8%

Total Clients427

Team

Total Employees5

Investment Advisers5

Employee Growth (1Y)+16.7%

Filing History

Total Filings on Record24

First FilingFeb 22, 2011

Latest FilingApr 1, 2026

🔒 Full AUM trend chart and 24 historical filings spanning 15+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on BATES FINANCIAL ADVISORS, INC.

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.