# VON Borstel & Associates

> VON Borstel & Associates is an SEC-registered investment advisory firm in The Dalles, OR, registered since 2020, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 20, 2026.

- CRD: 309746
- Filed as: VON BORSTEL & ASSOCIATES
- Legal name: VON Borstel & Associates, Inc.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: The Dalles, OR
- Filing period: October 2026
- Form ADV filing dated: March 20, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/309746
- AdvisorCensus page: https://advisorcensus.com/firm/von-borstel-and-associates-the-dalles-or-309746

## Quick answers

**How is VON Borstel & Associates compensated?**
On its Form ADV (Item 5.E, October 2026), VON Borstel & Associates reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**How much does VON Borstel & Associates charge?**
Its Form ADV Part 2A brochure dated March 20, 2026 states: Flat fee: $1,000 to $25,000 (Financial Planning); Hourly rate: $500 an hour (planning/consultations). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is VON Borstel & Associates located?**
VON Borstel & Associates' principal office is in The Dalles, OR, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is VON Borstel & Associates registered with the SEC or a state?**
VON Borstel & Associates is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 309746.

**How much does VON Borstel & Associates manage?**
VON Borstel & Associates reports $680,192,461 in regulatory assets under management in its Form ADV filing dated March 20, 2026 (100% discretionary).

**How have VON Borstel & Associates' assets and staff changed since 2021?**
In the Form ADV data for VON Borstel & Associates: Regulatory assets under management: $385,414,432 in the October 2021 data and $680,192,461 in the October 2026 data, up 76%. Total employees: 9 in October 2021 and 11 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does VON Borstel & Associates serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (258); individuals (other than high net worth individuals) (241); corporations or other businesses not listed above (1).

**Which custodians does VON Borstel & Associates use?**
VON Borstel & Associates' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does VON Borstel & Associates report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/309746

**Does VON Borstel & Associates state an account minimum?**
Its Form ADV Part 2A brochure dated March 20, 2026 says: "We also have a minimum asset size of $500,000.00. We may waive these minimums at our sole discretion."

**What changed in VON Borstel & Associates' recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $576,356,064 to $680,192,461 (+18%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 20, 2026)

- Account minimum: $500,000 (the brochure says it may be waived or negotiated)

> We also have a minimum asset size of $500,000.00. We may waive these minimums at our sole discretion.

- Flat fee: $1,000 to $25,000 (Financial Planning)

> Our fee for Financial Planning can range from $1,000 to $25,000 per plan.

- Hourly rate: $500 an hour (planning/consultations)

> If requested by client, we may also be engaged for planning/consultations on an hourly basis up to $500 per hour.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $680,192,461
- Discretionary: $680,192,461
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 241 | $118,463,790 |
| High net worth individuals | 258 | $561,638,671 |
| Corporations or other businesses not listed above | 1 | $90,000 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Educational seminars/workshops
- Other

### Firm details
- Registered since: 2020 (6 years)
- Employees: 11 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AK, AZ, CA, CO, ID, OR, TX, WA
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/309746

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Portland, OR

### Websites listed on Form ADV (Item 1.I)
- alignable.com/portland-or/von-borstel-associates-inc
- financialsmith.com
- financialsmith.substack.com
- trackmywealth.com
- vonborstel.com
- Facebook @vonborstelandassociates
- LinkedIn @vonborstel
- X @vonBorstelAssoc
- YouTube @UCFkI00FhgkL7fHioXCWVTNA

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $385,414,432 | 9 | August 2, 2021 |
| October 2022 | $478,849,136 | 9 | August 23, 2022 |
| October 2023 | $445,723,829 | 9 | May 22, 2023 |
| October 2024 | $504,442,247 | 9 | July 2, 2024 |
| October 2025 | $576,356,064 | 9 | March 19, 2025 |
| October 2026 | $680,192,461 | 11 | March 20, 2026 |

Regulatory assets under management: $385,414,432 in the October 2021 data and $680,192,461 in the October 2026 data, up 76%.
Total employees: 9 in October 2021 and 11 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $576,356,064 to $680,192,461 (+18%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. VON Borstel & Associates (CRD 309746): Form ADV filing data as of October 2026.