VON BORSTEL & ASSOCIATES
VON BORSTEL & ASSOCIATES, INC. Legal Name
Adviser information for VON BORSTEL & ASSOCIATES last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Oregon, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,079 | $504.4M |
| Non-Discretionary | 0 | $0 |
| Total | 2,079 | $504.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 286 | $135.7M |
| HNW Individuals | 194 | $368.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshopsHELD AWAY CONSULTING SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-119041 |
|---|---|
| SEC ERA File Number | 801-119041 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 309746 |
| Legal Entity Identifier | None |
Principal Office
308 E 3RD STREETTHE DALLES
OR
United States
Monday - Friday, 7:30 AM TO 5:30 PM
Tel: 541-296-6669, Fax: None
Chief Compliance Officer
SANDY AGUIRRE
308 EAST 3RD STREET
THE DALLES
OR
United States
Tel:
5412966669
Fax:
5412966668
S****@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| VON BORSTEL, WAYNE | Individual | – | OWNER | 01/1992 | > 75% |
| HERNANDEZ, SANDRA | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2020 | < 5% |