# BATES FINANCIAL ADVISORS, INC.

BATES FINANCIAL ADVISORS, INC. of ROCKFORD, IL is an SEC-registered investment adviser.

## Registration

- CRD: 116515
- Type: SEC-registered investment adviser
- SEC file number: 801-72191
- Location: 8437 NORTHERN AVE, ROCKFORD, IL, 61107
- Phone: 815-332-4020
- Latest filing: 2026-06-25
- Regulatory AUM: $439.2M
- Discretionary AUM: $438.2M
- Non-discretionary AUM: $992K
- Clients: 5
- Accounts: 1,273

## Business model

- Compensation: % of AUM, Fixed
- Clients served: Individuals, High net worth

## Officers, owners & control persons (12)

| Name | Role | Location |
| --- | --- | --- |
| George Ernest Bates | PRESIDENT; PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| Carol Eveline Bates | SECRETARY | — |
| George Douglas Bates | MANAGING PRINCIPAL, CHIEF COMPLIANCE OFFICER | — |
| CARLSON JULIANE MARIE | EXECUTIVE VICE PRESIDENT | — |
| BATES GEORGE ERNEST | PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| BATES CAROL EVELINE | SECRETARY | — |
| Gipple Todd Alan | VICE PRESIDENT | — |
| Budd Thomas David | VICE PRESIDENT | — |
| HANSBERRY JAMES MICHAEL | VICE PRESIDENT | — |
| Helling Larry Joseph | SECRETARY | — |
| SANDERS AMBER MEGAN | TREASURER | — |
| Carber Catherine | TREASURER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/116515/brochure
- Similar advisers: https://search.stillhousedata.com/firm/116515/similar
- Related entities: https://search.stillhousedata.com/firm/116515/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/116515

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.