George Bates is a registered investment advisor at Bates Financial Advisors, INC., based in Rockford, IL, with 35 years of industry experience. George operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 427 clients with $400M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Bates Financial Advisors manages investment portfolios for a fee based on a percentage of the value of your portfolio, generally ranging from 0.25% to 1.00% per year. There is a $100,000 minimum to use this service, but this may be negotiable. There is also a $175 minimum quarterly fee.
Location
8437 Northern Ave, Rockford, IL, 61107
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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George works for three affiliates of Bates Securities, Inc. He is also a licensed attorney, spending minimal time on legal work. Additionally, George is the Managing Member of Global Proppant Supply LLC and ASG Holdings LLC, dedicating nearly full-time hours to Global Proppant Supply and minimal time to ASG Holdings.
Employment History
Current Registrations
Bates Financial Advisors, INC.
Bates Securities, INC.Broker
Bates Securities, INC.
Previous Registrations
Bates Securities, INC.Broker
Bates Financial Advisors, INC.
Bates Financial Advisors, INC.
Bates Securities, INC.Broker
State Registrations23 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.