Rockford, IL Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Bates Financial Advisors, Inc.
Team
Firm-wide stats for Bates Financial Advisors, Inc.
About
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.
Based on Bates Financial Advisors, Inc.
Expertise
Based on Bates Financial Advisors, Inc.
Location
8437 Northern Ave
Rockford IL 61107
Advisors at this office
3
Advisors at this office
George B
Series 66
Rockford, IL
Bates Financial Advisors, Inc.
George Bates is a financial advisor at Bates Financial Advisors, Inc. with a Series 66 designation and experience across several firms, including FTI Consulting, Rice University, Plains All American Pipeline, KPMG, and PricewaterhouseCoopers. He has one year of industry experience. Bates Financial Advisors, Inc. manages approximately $395 million for about 426 clients, offering portfolio management, financial planning, and consulting services to individuals, pension and profit-sharing plans, charitable organizations, corporations, and governmental entities. The firm develops customized investment policies and implements portfolios using a variety of instruments while monitoring accounts continuously.
Matthew B
Series 66
Rockford, IL
Bates Financial Advisors, Inc.
Matthew Bates is a financial advisor at Bates Financial Advisors, Inc. in Rockford, IL. He holds a Series 66 designation and has one year of experience in the financial industry. Prior to his current role, he worked in various positions including at Republic Services, Inc. and held roles at the University of Texas and Brunswick Corporation. Bates Financial Advisors, Inc. manages approximately $395 million for around 426 clients, offering discretionary and non-discretionary portfolio management, financial planning, and consulting services. The firm serves individuals, pension and profit-sharing plans, charitable organizations, corporations, and governmental entities, constructing personalized investment policies and monitoring accounts continuously.
George B
Series 63, Series 65
Rockford, IL
Bates Financial Advisors, Inc.
George Bates is a financial advisor at Bates Financial Advisors, Inc. in Austin, TX, with 35 years of industry experience. He holds Series 63 and Series 65 licenses and is a licensed attorney admitted in Illinois and various federal courts. In addition to his advisory work, he manages Global Proppant Supply LLC, which develops frac sand projects in Wisconsin. Bates Financial Advisors, Inc. is an SEC-registered advisory team of seven professionals managing approximately $395 million for around 426 clients. The firm offers portfolio management, financial planning, and consulting services to individuals, pension and profit-sharing plans, charitable organizations, corporations, and governmental entities, using personalized investment policies and a range of financial instruments.
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