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| Bates Financial Advisors Inc
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| |
|---|---|
| CRD # | 116515 |
| SEC # | 801-72191 |
| CIK # | |
| AUM | $430.4 MM (2024-05-13) |
| Employees | 9 (67% Investors, 22% Brokers) |
| Phone | 815-332-4020 |
| Address | 8437 Northern Ave Rockford, IL 61107 |
| Source | [IAPD] [Website] |
| Total AUM ($MM) |
|---|
| AUM Breakdown | Accounts | AUM ($MM) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 475 | 150.1 |
| (b) Individuals (high net worth individuals) | 159 | 279.4 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 1 | 0.3 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 2 | 0.6 |
| Total | 1,764 | 430.4 |
| By Discretionary | ||
| Discretionary | 1,685 | 421.9 |
| Non-Discretionary | 79 | 8.5 |
| Total | 1,764 | 430.4 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 430.4 | |
| Total | 1,764 | 430.4 |
| Comparable Firms | State | AUM ($BB) |
|---|---|---|
|
Seabridge Investment Advisors LLC
✚
|
NJ | 0.4 |
|
Robertson Wealth Management LLC
✚
|
TX | 0.4 |
|
WP Advisors LLC
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|
CA | 0.4 |
|
Mulholland Wealth Advisors LLC
✚
|
AZ | 0.4 |
|
Central Family Advisors LLC
✚
|
NY | 0.4 |
|
Legacy Financial Independent Advisors LLC
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|
KY | 0.4 |
|
McLaughlin Ryder Investments Inc
✚
|
VA | 0.4 |
|
HOEY Investments Inc
✚
|
PA | 0.4 |
|
Financial Connections Group Inc
✚
|
CA | 0.4 |
|
FIRE Capital Management LLC
✚
|
CA | 0.4 |