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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

BATES FINANCIAL ADVISORS, INC.

CRD 116515

ROCKFORD, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:844ed4b5-011d-2181-6f64-e994c2bca32c

Data as of Jun 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 5
On other graphs: 0
Observed: Mar 26, 2012 to Jun 25, 2026
27 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0
Regulatory AUM: $439MItem 5.F on the latest filing (2026-06-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $438M
Private client RAUM: $438MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $87.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,273
Individual clients: 267
High net worth clients: 130
SEC number: 801-72191
CRD: 116515
Filings on the tape: 27
First filed: Mar 26, 2012
Latest filed: Jun 25, 2026
Organised: Corporation, IL
Website: batesfinancialadvisors.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
GEORGE ERNEST BATES	n/a	ROCKFORD, IL	28	43	1	yes
GEORGE DOUGLAS BATES	n/a	ROCKFORD, IL \| Austin, TX	5	45	2	yes
JOHN WILLIAM WIMBISCUS	Certified Financial Planner	Chicago, IL	0	30	2	no
Matthew Douglas Bates	n/a	ROCKFORD, IL	0	11	n/a	yes
GEORGE HENRY BATES	n/a	ROCKFORD, IL	0	11	n/a	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BATES, GEORGE, ERNEST	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	09/1984	Mar 26, 2012	May 13, 2024
BATES, CAROL, EVELINE	Secretary	Na	no	08/2020	Mar 26, 2012	May 13, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BATES FINANCIAL SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
BATES SECURITIES, INC.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 1, 2026	$439M	$438M	5	5	0	n/a	n/a
2024	Mar 31, 2025	$396M	$395M	7	7	0	n/a	n/a
2023	Mar 28, 2024	$430M	$422M	9	6	0	n/a	n/a
2022	Jun 28, 2023	$452M	$443M	12	8	1	n/a	n/a
2021	Mar 10, 2022	$551M	$537M	10	6	1	n/a	n/a
2020	Mar 22, 2021	$529M	$524M	10	4	1	n/a	n/a
2019	Mar 30, 2020	$528M	$521M	9	4	1	n/a	n/a
2018	Mar 29, 2019	$438M	$432M	9	4	1	n/a	n/a
2017	Apr 2, 2018	$375M	$370M	4	4	2	n/a	n/a
2016	Mar 21, 2017	$315M	$307M	4	4	n/a	n/a	n/a
2015	Mar 22, 2016	$267M	$259M	2	2	n/a	n/a	n/a
2014	Mar 17, 2015	$266M	$253M	2	2	n/a	n/a	n/a
2013	Mar 19, 2014	$281M	$273M	2	2	n/a	n/a	n/a
2012	Mar 12, 2013	$259M	$243M	3	3	n/a	n/a	n/a
2011	Mar 26, 2012	$225M	$212M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	3

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$439M	$396M	11.0%	$452M	-0.9%	5	7	0	0

Relationships

Registered with (13)

← GEORGE HENRY BATESAdvisorregistration: current employment
Sep 1, 2026 to presentfactForm ADV
← Matthew Douglas BatesAdvisorregistration: current employment
Jul 3, 2026 to presentfactForm ADV
← JOHN WILLIAM WIMBISCUSAdvisorregistration: current employment
May 4, 2026 to presentfactForm ADV
← GEORGE DOUGLAS BATESAdvisorregistration: previous registration
Dec 23, 2015 to Dec 31, 2017factForm ADV
← GEORGE ERNEST BATESAdvisorregistration: previous registration
May 24, 1998 to Dec 31, 2017factForm ADV
← Jennifer Rebecca SchwarzeAdvisorregistration: previous registration
May 3, 2021 to Jan 8, 2025factForm ADV
← Andrew Alan WaggonerAdvisorregistration: previous registration
Jul 22, 2021 to Nov 2, 2023factForm ADV
← THOMAS CRAIG CHERINGTONAdvisorregistration: previous registration
Jun 14, 2017 to Nov 2, 2023factForm ADV
← AMANDA Nicole DEVOREAdvisorregistration: previous registration
Jan 14, 2021 to Aug 29, 2022factForm ADV
← ROBERT EDWARD MORVICEAdvisorregistration: previous registration
May 2, 2019 to Apr 28, 2022factForm ADV
← Marina B PeacockAdvisorregistration: previous registration
Feb 26, 2019 to Feb 5, 2021factForm ADV
← MARK ANDREW JONESAdvisorregistration: previous registration
May 3, 2007 to Sep 3, 2020factForm ADV
← Erica C AmendaAdvisorregistration: previous registration
Apr 23, 2013 to Sep 3, 2013factForm ADV

Owns (1)

← BATES, CAROL, EVELINEOwnerSECRETARY, ownership code NA, individual
Mar 26, 2012 to May 13, 2024factForm ADV

Controls (1)

← BATES, GEORGE, ERNESTOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 26, 2012 to May 13, 2024factForm ADV

Dated events

Occurred
Jan 8, 2025
Advisor changed firm
Jennifer Rebecca Schwarze left Bates Financial Advisors, Inc. for Robert W. Baird & Co. Incorporated (registered 2025-01-08)
Form ADVobserved 6 days ago
Occurred
Nov 2, 2023
Advisor changed firm
Thomas Craig Cherington left Bates Financial Advisors, Inc. for Lpl Financial Llc (registered 2023-11-02)
Form ADVobserved 6 days ago
Occurred
Nov 2, 2023
Advisor changed firm
Andrew Alan Waggoner left Bates Financial Advisors, Inc. for Allstate Financial Advisors, Llc (registered 2023-11-06)
Form ADVobserved 6 days ago
Occurred
Aug 29, 2022
Advisor changed firm
Amanda Nicole Devore left Bates Financial Advisors, Inc. for Thrivent Advisor Network, Llc (registered 2022-09-28)
Form ADVobserved 6 days ago
Occurred
Apr 28, 2022
Advisor changed firm
Robert Edward Morvice left Bates Financial Advisors, Inc. for Thrivent Advisor Network, Llc (registered 2022-05-24)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:844ed4b5-011d-2181-6f64-e994c2bca32c
First observed: Mar 26, 2012
Last observed: Jun 25, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BATES FINANCIAL ADVISORS, INC.

CRD 116515

ROCKFORD, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:844ed4b5-011d-2181-6f64-e994c2bca32c

Data as of Jun 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:58 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

GEORGE ERNEST BATES

n/a

ROCKFORD, IL

yes

GEORGE DOUGLAS BATES

n/a

ROCKFORD, IL | Austin, TX

yes

JOHN WILLIAM WIMBISCUS

Certified Financial Planner

Chicago, IL

Matthew Douglas Bates

n/a

ROCKFORD, IL

n/a

yes

GEORGE HENRY BATES

n/a

ROCKFORD, IL

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BATES, GEORGE, ERNEST

PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

09/1984

Mar 26, 2012

May 13, 2024

BATES, CAROL, EVELINE

Secretary

08/2020

Mar 26, 2012

May 13, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BATES FINANCIAL SERVICES, INC.

n/a

yes

n/a

BATES SECURITIES, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 1, 2026

$439M

$438M

n/a

2024

Mar 31, 2025

$396M

$395M

n/a

2023

Mar 28, 2024

$430M

$422M

n/a

2022

Jun 28, 2023

$452M

$443M

n/a

2021

Mar 10, 2022

$551M

$537M

n/a

2020

Mar 22, 2021

$529M

$524M

n/a

2019

Mar 30, 2020

$528M

$521M

n/a

2018

Mar 29, 2019

$438M

$432M

n/a

2017

Apr 2, 2018

$375M

$370M

n/a

2016

Mar 21, 2017

$315M

$307M

n/a

2015

Mar 22, 2016

$267M

$259M

n/a

2014

Mar 17, 2015

$266M

$253M

n/a

2013

Mar 19, 2014

$281M

$273M

n/a

2012

Mar 12, 2013

$259M

$243M

n/a

2011

Mar 26, 2012

$225M

$212M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$439M

$396M

11.0%

$452M

-0.9%