A complete list of active advisors currently associated with Bates Financial Advisors, Inc.
Warmer can help you find a great advisor at Bates Financial Advisors, Inc. or one who fits your needs even better.
Bates Financial Advisors, Inc. is an SEC-registered advisory team of seven professionals managing roughly $395 million for about 426 clients. The firm provides discretionary and non‑discretionary portfolio management, financial planning, and consulting to individuals (including high‑net‑worth clients), pension and profit‑sharing plans, charitable organizations, corporations and state or municipal entities. The firm constructs individualized investment policies through personal interviews to define objectives, time horizons, risk tolerance and liquidity needs, then implements portfolios using mutual funds, ETFs, government securities, CDs, variable insurance products and other instruments. Accounts are monitored continuously and reviewed at least annually, and the brochure discloses the firm may employ both long‑ and short‑term strategies and, when suitable, use borrowing or margin in managed accounts. Bates is affiliated with Bates Securities, Inc., and many advisory personnel also act as registered representatives and licensed insurance agents, arrangements disclosed in the brochure that can generate commission and 12b‑1 revenue; the firm notes these conflicts and provides a mutual‑fund fee credit (0.0625% on 12b‑1 paying share classes). The brochure also describes an institutional relationship with Fidelity that supplies software and conversion reimbursements and notes limited practices (serving as trustee in certain situations and using standing letters of authorization) that can affect custody and brokerage arrangements.
To learn more about the advisors currently working at Bates Financial Advisors, Inc., click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.
You can also browse Bates Financial Advisors, Inc.'s office locations.
Name |
Location |
Years of experience |
|---|---|---|
Rockford, IL
| 0
| |
Rockford, IL
| 36
| |
Rockford, IL
| 0
| |
Chicago, IL
| 24
|
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)