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.