SourcingSourcing

VON BORSTEL & ASSOCIATES, INC.

C40
CRD 309746·SEC 801-119041·THE DALLES, OR
AUM
$680.2M
$500M-$1B
Est. Revenue
$6.8M
@ 1% on AUM
Est. EBITDA
$2.0M
@ 30% margin
Est. Deal Value
$16.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
VON BORSTEL & ASSOCIATES, INC.
CRD
309746
SEC file #
801-119041
EIN
—
DBA names
Von Borstel & Associates

Economics

AUM
$680.2M
AUM band
$500M-$1B
AUM trajectory
'21'26
$318.3M → $680.2M▲ +114%
Client mix
Individuals High Net Worth258
Individuals Other241
Corporations1

Operations

Employees (total)
11
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'21'26
2 advisors → 3 advisors▲ +50%
Primary office
THE DALLES OR
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsEducational Seminars WorkshopsOther Advisory Services
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/20/2026
ADV-W filed at
—
Website
youtube.com/channel/ucfki00fhgkl7fhioxcwvtna

Compliance

Disclosures (firm)
1
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
VON BORSTEL, WAYNE
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
VON BORSTEL, WAYNE
AGUIRRE PIZA, SANDRA
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:vonborstel.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.1851
Soi Zip Pct 200k Plus
0.0368
Soi Zip Returns 200k Plus
350
Soi Zip Total AGI
629,992
Fdic Zip Total Deposits
13,002,250,000
Fdic Zip Branch Count
267
Fdic Zip Top Banks
U.S. Bank National Association
Columbia River Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (19)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fdic Zip Branches Raw
Columbia River Banking CompanyThe Dalles, OR
Columbia River Banking CompanyThe Dalles, OR
Fdic Zip HHI
1004.5
Fdic Zip Top Bank Share Pct
16.98
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI33,518
Returns2,620
Stub 2
AGI94,818
Returns2,580
Stub 3
AGI95,844
Returns1,570
Soi Zip Total Business Income
17,047
Soi Zip Total Cap Gains
20,314
Soi Zip Total Dividends
10,017
Soi Zip Total Returns
9,510
Top Owner CRD
1419351
Trust Company Affiliate
No

People (4)

4
VON BORSTEL, WAYNE
IAR · Direct Owner · 87.5%
1419351
AGUIRRE PIZA, SANDRA
IAR · Executive Officer · 2.5%
4619906
ANSON DAVID LILIENTHAL
IAR
7189315
CRAIG RYAN SMITH
IAR
5324542