SourcingSourcing

BATES FINANCIAL ADVISORS, INC.

A76
CRD 116515·SEC 801-72191·ROCKFORD, IL
AUM
$439.2M
$100M-$500M
Est. Revenue
$4.4M
@ 1% on AUM
Est. EBITDA
$1.3M
@ 30% margin
Est. Deal Value
$10.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
BATES FINANCIAL ADVISORS, INC.
CRD
116515
SEC file #
801-72191
EIN
—
DBA names
—

Economics

AUM
$439.2M
AUM band
$100M-$500M
AUM trajectory
'20'26
$437.8M → $439.2M▬ 0%
Client mix
Individuals Other267
Individuals High Net Worth130
Charitable Organizations2

Operations

Employees (total)
5
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'20'26
4 advisors → 5 advisors▲ +25%
Primary office
ROCKFORD IL
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
04/01/2026
ADV-W filed at
—
Website
batesfinancialadvisors.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BATES, GEORGE, ERNEST
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
BATES, GEORGE, ERNEST
BATES, GEORGE, DOUGLAS
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
BATESFINANCIALADVISORS.COM
Rdap Domain Creation Date
2014-06-20T18:40:39Z
Rdap Firm Age Years
12
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
2
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Fidelity4
Altruist4
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-06-20T18:40:39Z
Rdap Domain Last Changed
2025-06-23T10:48:23Z
Rdap Nameservers
Ns45.domaincontrol.comNs46.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
14642
Trust Company Affiliate
No

People (4)

4
BATES, GEORGE, ERNEST
IAR · Direct Owner · 87.5%
14642
BATES, GEORGE, DOUGLAS
IAR · Executive Officer · 2.5%
1539381
BATES, CAROL, EVELINE
Executive Officer · 2.5%
1463859
JOHN WILLIAM WIMBISCUS
IAR
2771598