BATES FINANCIAL ADVISORS, INC.
CRD #116515 SEC #801-72191 ROCKFORD, IL 815-332-4020
SEC Registered
Total AUM
$395.6M
Discretionary
$394.7M
Employees
7
Clients
26
Accounts
1,355
AUM Over Time
| Date | Total AUM | Discretionary | Non-Disc. | Employees | Clients |
|---|---|---|---|---|---|
| Oct 2025 | $395.6M | $394.7M | $945.8K | 7 | 0 |
| Apr 2025 | $395.6M | $394.7M | $945.8K | 7 | 0 |
| May 2024 | $430.4M | $421.9M | $8.5M | 9 | 0 |
| Mar 2024 | $430.4M | $421.9M | $8.5M | 9 | 0 |
| Jun 2023 | $451.5M | $442.7M | $8.8M | 12 | 0 |
| Mar 2022 | $550.5M | $537.4M | $13.1M | 10 | 0 |
| Mar 2021 | $529.2M | $524.2M | $5M | 10 | 0 |
| Sep 2020 | $527.5M | $521.1M | $6.4M | 9 | 9 |
| Jun 2020 | $527.5M | $521.1M | $6.4M | 9 | 9 |
| Mar 2020 | $527.5M | $521.1M | $6.4M | 9 | 9 |
| Mar 2020 | $527.5M | $521.1M | $6.4M | 9 | 9 |
| Nov 2019 | $437.8M | $431.9M | $5.9M | 9 | 24 |
| Sep 2019 | $437.8M | $431.9M | $5.9M | 9 | 24 |
| Mar 2019 | $437.8M | $431.9M | $5.9M | 9 | 24 |
| Feb 2019 | $374.8M | $370M | $4.8M | 4 | 0 |
| Apr 2018 | $374.8M | $370M | $4.8M | 4 | 0 |
| May 2017 | $315.5M | $307M | $8.5M | 4 | 500 |
| Mar 2017 | $315.5M | $307M | $8.5M | 4 | 500 |
| Mar 2016 | $266.9M | $259.4M | $7.6M | 2 | 500 |
| Mar 2015 | $266.4M | $252.8M | $13.6M | 2 | 400 |
| Mar 2014 | $280.8M | $272.8M | $8M | 2 | 400 |
| Mar 2013 | $258.5M | $242.8M | $15.7M | 3 | 400 |
| Apr 2012 | $225M | $212.2M | $12.8M | 1 | 400 |
| Mar 2012 | $225M | $212.2M | $12.8M | 1 | 400 |
| Feb 2011 | $206.8M | $0 | $206.8M | 5 | -- |
DateOct 2025
Total AUM$395.6M
Discretionary$394.7M
Non-Disc.$945.8K
Employees7
Clients0
DateApr 2025
Total AUM$395.6M
Discretionary$394.7M
Non-Disc.$945.8K
Employees7
Clients0
DateMay 2024
Total AUM$430.4M
Discretionary$421.9M
Non-Disc.$8.5M
Employees9
Clients0
DateMar 2024
Total AUM$430.4M
Discretionary$421.9M
Non-Disc.$8.5M
Employees9
Clients0
DateJun 2023
Total AUM$451.5M
Discretionary$442.7M
Non-Disc.$8.8M
Employees12
Clients0
DateMar 2022
Total AUM$550.5M
Discretionary$537.4M
Non-Disc.$13.1M
Employees10
Clients0
DateMar 2021
Total AUM$529.2M
Discretionary$524.2M
Non-Disc.$5M
Employees10
Clients0
DateSep 2020
Total AUM$527.5M
Discretionary$521.1M
Non-Disc.$6.4M
Employees9
Clients9
DateJun 2020
Total AUM$527.5M
Discretionary$521.1M
Non-Disc.$6.4M
Employees9
Clients9
DateMar 2020
Total AUM$527.5M
Discretionary$521.1M
Non-Disc.$6.4M
Employees9
Clients9
DateMar 2020
Total AUM$527.5M
Discretionary$521.1M
Non-Disc.$6.4M
Employees9
Clients9
DateNov 2019
Total AUM$437.8M
Discretionary$431.9M
Non-Disc.$5.9M
Employees9
Clients24
DateSep 2019
Total AUM$437.8M
Discretionary$431.9M
Non-Disc.$5.9M
Employees9
Clients24
DateMar 2019
Total AUM$437.8M
Discretionary$431.9M
Non-Disc.$5.9M
Employees9
Clients24
DateFeb 2019
Total AUM$374.8M
Discretionary$370M
Non-Disc.$4.8M
Employees4
Clients0
DateApr 2018
Total AUM$374.8M
Discretionary$370M
Non-Disc.$4.8M
Employees4
Clients0
DateMay 2017
Total AUM$315.5M
Discretionary$307M
Non-Disc.$8.5M
Employees4
Clients500
DateMar 2017
Total AUM$315.5M
Discretionary$307M
Non-Disc.$8.5M
Employees4
Clients500
DateMar 2016
Total AUM$266.9M
Discretionary$259.4M
Non-Disc.$7.6M
Employees2
Clients500
DateMar 2015
Total AUM$266.4M
Discretionary$252.8M
Non-Disc.$13.6M
Employees2
Clients400
DateMar 2014
Total AUM$280.8M
Discretionary$272.8M
Non-Disc.$8M
Employees2
Clients400
DateMar 2013
Total AUM$258.5M
Discretionary$242.8M
Non-Disc.$15.7M
Employees3
Clients400
DateApr 2012
Total AUM$225M
Discretionary$212.2M
Non-Disc.$12.8M
Employees1
Clients400
DateMar 2012
Total AUM$225M
Discretionary$212.2M
Non-Disc.$12.8M
Employees1
Clients400
DateFeb 2011
Total AUM$206.8M
Discretionary$0
Non-Disc.$206.8M
Employees5
Clients--