Caitlin T. Borton

GASAWAY INVESTMENT ADVISORS

Kalamazoo, MI 49009

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CRD#: 5377755

Professional summary

Caitlin Therese Borton, who also goes by Caitlin Therese Borton, Caitlin Therese Vanalstine, is a registered financial advisor currently at GASAWAY INVESTMENT ADVISORS, INC. located in Kalamazoo, Michigan.

Caitlin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Caitlin has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Caitlin Therese Borton | Caitlin Therese Vanalstine

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caitlin Therese Borton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 2, 2021 - Present

GASAWAY INVESTMENT ADVISORS, INC.

Office #1: 7110 Stadium Drive, Kalamazoo, MI 49009

RIA

CRD#: 123807

Kalamazoo, MI

Past

January 22, 2019 - April 21, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Kalamazoo, MI

Past

February 4, 2014 - January 11, 2019

LPL FINANCIAL LLC

CRD#: 6413

PORTAGE, MI

Past

July 6, 2011 - February 5, 2014

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

KALAMAZOO, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GASAWAY INVESTMENT ADVISORS, INC.

ALLIANCE RETIREMENT PLAN SOLUTIONS | GASAWAY INVESTMENT ADVISORS, INC. | GASAWAY & ASSOCIATES, INC.

CRD#: 123807 / SEC#: 801-121052

RIA

Registered Investment Advisory firm - (5/3/2021 Approved)

Florida

Registered Investment Advisory firm - (9/3/2021 Terminated)

Illinois

Registered Investment Advisory firm - (9/29/2021 Terminated)

Michigan

Registered Investment Advisory firm - (9/3/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/3/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Michigan
(12/2/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/2/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/17/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/7/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/5/2011

General Securities Representative Examination

Current Firm

GASAWAY INVESTMENT ADVISORS, INC.

ALLIANCE RETIREMENT PLAN SOLUTIONS | GASAWAY INVESTMENT ADVISORS, INC. | GASAWAY & ASSOCIATES, INC.

CRD#: 123807 / SEC#: 801-121052

RIA

Registered Investment Advisory firm - (5/3/2021 Approved)

Florida

Registered Investment Advisory firm - (9/3/2021 Terminated)

Illinois

Registered Investment Advisory firm - (9/29/2021 Terminated)

Michigan

Registered Investment Advisory firm - (9/3/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/3/2021 Terminated)

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Contact information

Main Address

7110 Stadium Drive, Kalamazoo, MI 49009

Mailing Address

P.o. Box 10, Oshtemo, MI 49077

Phone number

(269) 324-0080

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

08 07 2025 GIA FORM ADV PART 2A AND 2B FINAL (8/7/2025)

Regulatory assets under management

Total Number of Accounts	713
AUM (Assets Under Management)	$ 162,423,538

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/05/2024	Cover Page	Report
03/08/2024	Cover Page	Report
02/17/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Caitlin T. Borton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caitlin Therese Borton's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

GASAWAY INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/2/2021

Series 63

Date: 10/17/2011

Series 7TO

Date: 3/7/2024

SIE

Date: 10/1/2018

Series 7

Date: 7/5/2011

Current Firm

GASAWAY INVESTMENT ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GASAWAY INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

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