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| Happy Holidays!! thanks for using AUM13F!! |
| Bates Financial Advisors Inc
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| CRD # | 116515 |
| SEC # | 801-72191 |
| CIK # | |
| AUM | $395.6 M (2025-03-31) |
| Employees | 7 (100% Investors, 29% Brokers) |
| Phone | 815-332-4020 |
| Address | 8437 Northern Ave Rockford, IL 61107 |
| Source | [IAPD] [Website] |
| Total AUM ($M) |
|---|
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 289 | 120.6 |
| (b) Individuals (high net worth individuals) | 137 | 274.7 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 1 | 0.3 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 1,355 | 395.6 |
| By Discretionary | ||
| Discretionary | 1,348 | 394.7 |
| Non-Discretionary | 7 | 0.9 |
| Total | 1,355 | 395.6 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 395.6 | |
| Total | 1,355 | 395.6 |
| Comparable Firms | State | AUM ($B) |
|---|---|---|
|
EVT Financial Advisors AG
✚
|
0.4 | |
|
Jupiter Wealth Management LLC
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|
CO | 0.4 |
|
Morton Brown Family Wealth LLC
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PA | 0.4 |
|
Tigeroak Management LLC
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|
TN | 0.4 |
|
Front Row Advisors LLC
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|
CA | 0.4 |
|
Mullooly Asset Management Inc
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|
NJ | 0.4 |
|
Laurel Wealth Planning LLC
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|
MN | 0.4 |
|
Beaton Management Co Inc
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|
MA | 0.4 |
|
Buttonwood Financial Advisors Inc
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|
MD | 0.4 |
|
Spivak Asset Management LLC
✚
|
CT | 0.4 |