A complete list of active advisors currently associated with Bates Wealth Management, LLC

Warmer can help you find a great advisor at Bates Wealth Management, LLC or one who fits your needs even better.

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.

To learn more about the advisors currently working at Bates Wealth Management, LLC, 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.