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Managing Principal, Chief Compliance Officer · Bates Financial Advisors, Inc.

George D. Bates

CRD 1539381 · Named on Form ADV at one SEC-registered adviser

At a glance

Bates Financial Advisors, Inc., an SEC-registered wealth manager based in Rockford, IL with $439 million in regulatory assets, lists George D. Bates on its Form ADV as Managing Principal, Chief Compliance Officer, a control person.

Firms and roles

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George’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For George’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.