Eric Bates
Advisor at Rubicon Advisors
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Rubicon Advisors
Location
Redding, CA 96002
Credentials
Series 63, Series 65
Industry experience
31 years
About
Eric Bates is a financial advisor with Rubicon Advisors in Roseville, CA, holding Series 63 and Series 65 licenses and over 31 years of industry experience. He has worked at Rubicon Advisors and LPL Financial since 2017, with prior roles at Wells Fargo Clearing Services and Wells Fargo Advisors. Outside of his advisory work, he operates Eric Bates Advisory Incorporated, a business entity established for tax and investment purposes. Rubicon Advisors serves individual and high-net-worth clients nationwide, providing portfolio management, financial planning, estate and retirement planning, and employer retirement plan consulting. The firm’s investment approach is based on client goals and risk tolerance, with tailored asset allocation and portfolio construction that may include a variety of securities and LPL-sponsored programs.
Client services
Based on Rubicon Advisors
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Based on Rubicon Advisors
College savings (529s, UTMA, etc.)
Options & derivatives strategies
Private / alternative investments
Fee options
Flat fees up to $5,000 for financial planning and consulting services
$0+: Up to 1.75% $0+: Up to 1.80% (LPL Sponsored Advisory Programs, varying by program) $15,000+: Up to 1.80% (Optimum Market Portfolios Program) $25,000+: Up to 1.80% (Model Wealth Portfolios Program) $100,000+: Up to 1.80% (Manager Access Select Program, minimum may vary) $250,000+: Up to 1.80% (Personal Wealth Portfolios Program) $5,000+: Up to 1.35% (Guided Wealth Portfolios Program)
Representatives may accept commissions from sale of securities and mutual fund trail fees
Hourly fees up to $350/hour for financial planning and consulting services
Fee-only: Hourly fees up to $350/hour; flat fees up to $5,000; financial planning retainer not exceeding $1,200 when services cannot be rendered within 6 months
Location
1640 East Cypress, Suite A
Redding, CA 96002
Most active in
Eric B has reported serving >5 clients in these states in the last 12 months.
California · Texas
Work history
Rubicon Advisors
2017 - Present (9 years)
LPL FInancial, LLC
2017 - Present (9 years)
Wells Fargo Clearing
2016 - 2017 (1 year)
Wells Fargo Advisors, Llc
2015 - 2016 (1 year)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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