Bates Wealth Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Bates Wealth Management serves individual investors and retirement plan sponsors, offering discretionary asset management, limited-scope ERISA 3(21) plan advisory services, and hourly financial planning. The firm documents client goals and risk tolerances in written materials such as investment policy statements and periodic evaluations.
The firm’s investment process uses both fundamental and technical analysis and tailors strategies to client objectives, including long- and short-term positions and option trading (covered, uncovered, and spreading strategies) as described in its ADV. Accounts are managed on a discretionary basis with monthly reviews, and clients may impose investment restrictions that are documented in client files.
Noteworthy distinctions include the explicit use of options and derivative strategies within client accounts and the fact that the firm’s registered representatives are also licensed insurance agents, a disclosed outside business activity that may result in insurance recommendations and non‑cash incentives (with conflicts addressed by fiduciary disclosures). The firm operates at a relatively small scale—roughly 32 clients and about $15.5 million in AUM with two advisors and a stated $100,000 account minimum (waivable)—indicating a boutique practice orientation rather than a large high‑net‑worth focus.
Client services
Expertise
Fee options
$0 - $250,000: 1.50% annually $250,001 - $500,000: 1.25% annually $500,001 - $1,000,000: 1.10% annually $1,000,001+: 1.00% annually
$250 per hour, negotiable; fee may be waived if client implements plan with Bates
Account minimum: $100,000
Main office
Los Angeles CA
Advisors at this office
2
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
Advisors at this firm
Geoffrey B
CFP®, Series 63, Series 65
Los Angeles, CA
Bates Wealth Management, LLC
Geoffrey Bates is a CFP® with 27 years of industry experience, currently serving as an advisor at Bates Wealth Management, LLC since 2016. He has operated as a sole proprietor since 2011 and is also the owner of an insurance agency specializing in life and health insurance. Bates Wealth Management serves individual investors and retirement plan sponsors, offering discretionary asset management, ERISA 3(21) advisory services, and hourly financial planning. The firm employs both fundamental and technical analysis, incorporating options and derivative strategies, and manages accounts on a discretionary basis with documented client goals and investment restrictions.
David O
CFP®, ChFC®, Series 63
Los Angeles, CA
Bates Wealth Management, LLC
David Ono is a CFP® and ChFC® with 13 years of industry experience, currently serving as an advisor at Bates Wealth Management, LLC since 2016. He previously worked at Transamerica Financial Advisors and Modern Capital Advisors, LLC. In addition to his advisory role, he operates as a Life & Health Insurance Agent. Bates Wealth Management offers discretionary asset management, ERISA 3(21) plan advisory services, and hourly financial planning to individual investors and retirement plan sponsors. The firm employs fundamental and technical analysis and incorporates options and derivative strategies, managing accounts on a discretionary basis with tailored investment approaches.
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