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BATES FINANCIAL ADVISORS, INC.

ROCKFORD, IL · CRD 116515 · IAPD ↗ · batesfinancialadvisors.com · 815-332-4020

$439.2MRegulatory AUM
5Advisory reps
5Employees
0Clients
26-50Planning clients
0Private funds
12States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
July 2026 — BATES FINANCIAL ADVISORS, INC. notice-filed in CT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
May 2026 — BATES FINANCIAL ADVISORS, INC. shrank from 7 to 5 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
53
April 2024 — BATES FINANCIAL ADVISORS, INC. shrank from 8 to 6 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
64
April 2024 — BATES FINANCIAL ADVISORS, INC. reports 26-50 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.