Staying True to Our Roots

von Borstel & Associates was founded on the principle always to do what is right for our clients. This principle along with our shared team values of honesty, integrity, hard work and fellowship have kept us grounded and growing since 1985. Markets go up, and markets go down, the industry continues to evolve and change. However, we will always stay true to our roots.

We believe we are significantly different than many financial advisors or wealth management firms you may have encountered. Maintaining this difference is important to us, and is equally beneficial to our clients. This is what makes us vastly different.

WE RELY ON FACTS TO MAKE DECISIONS... NOT EMOTIONS

With confidence in markets, deep roots in the academic community, and a focus on implementation, we go where the science leads – not where emotions lead. We continue to pursue new insights, both large and small, that can benefit our clients. Our decisions are systematic, unemotional and diversified.

WE STRIVE TO INCREASE PROBABILITY OF SUCCESS... NOT LUCK

When it comes to pursuing financial success we prefer to let the markets do what they do best—drive information into prices—and then interpret the data by applying sound academic principles to manage your portfolio and strive to help increase your probability of success. We never rely on futile forecasting or luck to help you achieve your goals.

WE DIFFERENTIATE INVESTMENTS BASED ON CHARACTERISTICS... NOT HISTORICAL RETURNS

We are primarily interested in understanding an investment’s characteristics, over historical returns. Research has shown that securities that offer higher expected returns share certain characteristics, which we call dimensions. To be considered a dimension, these characteristics must be sensible, persistent over time, pervasive across markets, and cost-effective to capture.

WE USE WISDOM TO GUIDE YOU... NOT PROMISES

Markets go up, and they go down. Our goal is not to deliver promises, but to help people prepare so that they can stick with their plan despite market volatility. We adhere to a transparent approach, backed by decades of research, with every decision.

WE WANT THE TRUTH TO BE TOLD... NOT A GOOD STORY

No one can predict what will happen with the market tomorrow, let alone next year. We are not salesmen and are not interested in telling you a good story to sell products. We are educators and focused on telling you the truth about the markets, about investing, and about your particular financial situation. One of our primary services is independent financial planning, which means you can work with us without ever actually investing with us.

WE BELIEVE IT IS BETTER TO BE ORGANIZED FOR THE FUTURE... NOT HOPEFUL

Financial tranquility comes with accepting uncertainty in the markets, and in your life, and being well prepared for both. We help our clients get organized with a plan for the future, so they can worry less and live more.

WE ARE INDEPENDENT... NOT CAPTIVE

We are independent, which means our investment advice is free from the needs, sales quotas or marketing influences of any other company, allowing us to choose what is best for you, your goals and your circumstances. We believe this is critical to your investment success.

WE WANT YOU TO BE YOUR BEST... NOT COMPLACENT

When you are random with your thoughts and actions, the acceptance of mediocrity results in lost opportunities. We believe in a process that can help you to be your best. It’s a process we’ve used to help thousands of clients over the past 30 years pursue success.

A Distinct Client Experience

We have assembled an incredible team with access to an expansive array of resources to deliver a dynamic suite of services and experience.

Our Team

  • Over 184 Years Experience
  • Highly Esteemed CFP® Designation, Less than 20% of Financial Advisors*
  • Extensive Financial Credentials
  • Vast Intellectual Capital

*As reported in CFP Board Report, 2012.

  • Careful staffing and controlled client growth
  • Low client to team member ratio
  • Average client retention rate for 10 years is 97%

Our Resources

  • Extensive Professional Network
  • 5 Legal Firms
  • 3 Accounting Firms
  • 4 Independent Insurance Specialists (health, life, long-term care, disability)
  • Several Investment Research Firms
  • Charles Schwab & Co., Inc. (Schwab) -von Borstel & Associates has selected Schwab as primary custodian for our clients’ accounts.**
  • RIA Systems - for improved back office efficiency, compliance and supervision oversight.

**These materials have been independently produced by von Borstel & Associates, Inc. von Borstel & Associates, Inc. is independent of, and has no affiliation with, Charles Schwab & Co., Inc. or any of its affiliates (“Schwab”). Schwab is a registered broker-dealer and member SIPC. Schwab had not created, supplied, licensed, endorsed, or otherwise sanctioned these materials nor has Schwab independently verified any of the information in them. von Borstel & Associates, Inc. provides you with investment advice, while Schwab maintains custody of your assets in a brokerage account and will effect transactions for your account on our instruction.

Our Services

  • Monthly Coaching Calls
  • Quarterly Investor Meetings
  • Retirement Strategy Seminars
  • Social Security Seminars
  • Separating Myths from Truth Session
  • Wayne's Rules Blog
  • Education Video Series
  • Special Events
  • Track My Wealth: 24/7 access to all your accounts, all in one place; Encrypted, electronic "Vault" to store all your important financial documents.
  • Second Opinion Service
  • Legacy Builder Conversations