DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Laffer Tengler Investments, Inc.
Latest filing Mar 26, 2026
First filing on the tape Mar 30, 2012 · 50 filings
SEC status approved since Nov 10, 1999
RAUM
$800M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
72%
$580M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$66.7M
derived; firm RAUM over IAPD count
Employees
14
13 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$800M as of Mar 26, 2026
Mar 30, 2012$319M then
HNW client RAUM$524M as of Mar 26, 2026
Mar 27, 2018$12.4M then
State-registered IARs (5.B.3)10 as of Mar 26, 2026
Apr 1, 20133 then
Employees (5.A)14 as of Mar 26, 2026
Apr 1, 201315 then
Private funds: no history
RAUM +29% over the last fiscal year+27% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $66.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 5.G
- Wrap fee program
- $590MreportedItem 5.I
- Custody
- $229M, 79 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$524M65%
- Corporations and businesses$86.0M11%
- Insurance companies$71.6M8.9%
- Individuals$55.9M7.0%
- Investment companies$24.2M3.0%
- State and municipal entities$24.1M3.0%
- Charitable organizations$11.1M1.4%
- Pension and profit-sharing plans$3.4M0.4%
- Individual clients
- 145reported
- HNW clients
- 98reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 767reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $36.1M managedreported
- Custody of client assets
- $229M for 79 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.72 fund_share=0.03 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Stanley Rogers | Manchester, Tn | Dec 6, 2006 | 29 y | 1 |
| Nancy Caven Tengler | Incline Village, Nv | Dec 3, 2019 | 25 y | 2 |
| Catherine Lorie Lafee | Sottsdale, Az | Dec 3, 2019 | 15 y | 3 |
| Steven Frederick ShepichChartered Financial Analyst | Royal Oak, Mi | May 19, 2020 | 31 y | 2 |
| Michael Joseph Madzin | Chattanooga, Tn | Sep 23, 2022 | 22 y | 3 |
| James Kirk Meyers | Scottsdale, Az | May 2, 2023 | 11 y | 1 |
| Byron Duane Anderson | Scottsdale, Az | Jun 14, 2024 | 21 y | 4 |
| Alex Van IderstineChartered Financial Analyst | Scottsdale, Az | Jul 12, 2024 | 13 y | 0 |
| Lauren Melissa WestChartered Financial Analyst | Scottsdale, Az | Mar 5, 2025 | 14 y | 0 |
| Gavin Edward Grabowski | Scottsdale, Az | May 28, 2025 | 11 y | 0 |
| Austin Mitchell FiliereChartered Financial Analyst | Scottsdale, Az | Mar 17, 2026 | 12 y | 0 |
| Nicholas George Pethokoukis | Nashville, Tn | Jun 2, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount1 left over 36 months
Left, latest
- Mark Steven Werner to LPL Financial LLCJan 13, 2026 · RIA to affiliated broker-dealer or bank
- Jonathan E Curley to World Investment Advisors, LLCMar 1, 2023 · Other
- Alec Louis Diamond to Alliancebernstein L.P.Sep 19, 2022 · Other
- Richard Allen Grider to My Prosper TeamSep 15, 2022 · RIA to RIA
- Katherine Mach to World Investment Advisors, LLCMar 4, 2022 · Other
- Eileen Robin Frohman to Pruco Securities, LLCNov 5, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- Mark Steven Werner from Defined Purpose Capital LLCMar 4, 2025 · Other
- Byron Duane Anderson from Mutual Advisors, LLCJun 14, 2024 · Affiliated broker-dealer or bank to independent RIA
- James Kirk Meyers from The Herbst Group, LLCMay 2, 2023 · RIA to RIA
- Eileen Robin Frohman from Fisher InvestmentsSep 23, 2021 · RIA to RIA
- Richard Allen Grider from DynamicApr 26, 2021 · RIA to RIA
- Steven Frederick Shepich from Ameriprise Financial Services, LLCMay 19, 2020 · Affiliated broker-dealer or bank to independent RIA
- Catherine Lorie Lafee from Butcherjoseph Asset Management, LLCDec 3, 2019 · Other
- Nancy Caven Tengler from Butcherjoseph Asset Management, LLCDec 3, 2019 · Other
- Katherine Mach from Butcherjoseph Asset Management, LLCNov 8, 2019 · Other
- Jonathan E Curley from Butcherjoseph Asset Management, LLCNov 8, 2019 · Other
- Michael Joseph Madzin from Madzin Partners, LLCJun 15, 2007 · Other
- John Stanley Rogers from The Jumper Group, Inc.Dec 6, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from Butcherjoseph Asset Management, LLCApr 29, 2020 · Charlotte, Nc · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Betz Arthur Laffer · Portfolio Manager And Presidentcontrolsince 12/2020 · owns less than 5%
- Caven Nancy Tengler · Chief Investment Officer And Chief Executive Officercontrolsince 11/2019 · owns less than 5%
- Delbert Keith Butcher · Managing Partnercontrolsince 12/2010 · owns 25% to 50% of Butcherjoseph & Co. LLC
- John Joseph Strycharz · Managing Partnercontrolsince 12/2010 · owns 25% to 50% of Butcherjoseph & Co. LLC
- Sheila Asher · Chief Operating Officersince 01/2022 · owns less than 5%
- Bellantoni Debra Lynch · Chief Compliance Officersince 12/2022 · owns less than 5%
Entity owners
- Butcherjoseph Financial Holdings, LLC · Ownerdirect · owns 75% or more
- Butcherjoseph & Co. LLC · Ownerindirect · owns 50% to 75% of Butcherjoseph Financial Holdings, LLC
Related persons
Schedule D 7.A
- Butcherjoseph & Co. LLCinvestment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Scottsdale, Az | 7 | 1 | 1 | ||
| Nashville, Tn · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ3 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 673 to 767Sep 10, 2025 to Mar 26, 2026
- Advisory employees · 12 to 13Sep 10, 2025 to Mar 26, 2026
- Charity clients · unset to 6.0Sep 10, 2025 to Mar 26, 2026
- Corporate clients · 20 to 21Sep 10, 2025 to Mar 26, 2026
- HNW clients · 92 to 98Sep 10, 2025 to Mar 26, 2026
- Individual clients · 138 to 145Sep 10, 2025 to Mar 26, 2026
- Assets in custody · $229M to $229MSep 10, 2025 to Mar 26, 2026
- Employees · 15 to 14Sep 10, 2025 to Mar 26, 2026
- Discretionary RAUM · $622M to $800MSep 10, 2025 to Mar 26, 2026
- HNW RAUM · $381M to $524MSep 10, 2025 to Mar 26, 2026
- Individual RAUM · $48.9M to $55.9MSep 10, 2025 to Mar 26, 2026
- Pension RAUM · $2.9M to $3.4MSep 10, 2025 to Mar 26, 2026
- RAUM · $622M to $800MSep 10, 2025 to Mar 26, 2026
- Wrap assets (manager) · $32.8M to $36.1MSep 10, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Aug 7, 2025 to Sep 10, 2025
- Accounts · 633 to 673May 7, 2024 to Mar 11, 2025
- Advisory employees · 10 to 12May 7, 2024 to Mar 11, 2025
- Advisory activities · 6 to 5May 7, 2024 to Mar 11, 2025
- Corporate clients · 23 to 20May 7, 2024 to Mar 11, 2025
- HNW clients · 70 to 92May 7, 2024 to Mar 11, 2025
- Individual clients · 135 to 138May 7, 2024 to Mar 11, 2025
- Assets in custody · $173M to $229MMay 7, 2024 to Mar 11, 2025
- Employees · 13 to 15May 7, 2024 to Mar 11, 2025
- State-registered IARs · 6 to 10May 7, 2024 to Mar 11, 2025
- Discretionary RAUM · $463M to $622MMay 7, 2024 to Mar 11, 2025
- HNW RAUM · $257M to $381MMay 7, 2024 to Mar 11, 2025
- Individual RAUM · $44.0M to $48.9MMay 7, 2024 to Mar 11, 2025
- Pension RAUM · $1.6M to $2.9MMay 7, 2024 to Mar 11, 2025
- RAUM · $463M to $622MMay 7, 2024 to Mar 11, 2025
- Wrap assets (manager) · $35.4M to $32.8MMay 7, 2024 to Mar 11, 2025
- Accounts · 604 to 633Mar 30, 2023 to Mar 18, 2024
- Advisory employees · 8 to 10Mar 30, 2023 to Mar 18, 2024
- Corporate clients · 25 to 23Mar 30, 2023 to Mar 18, 2024
- HNW clients · 54 to 70Mar 30, 2023 to Mar 18, 2024
- Individual clients · 140 to 135Mar 30, 2023 to Mar 18, 2024
- Assets in custody · $145M to $173MMar 30, 2023 to Mar 18, 2024
- Employees · 11 to 13Mar 30, 2023 to Mar 18, 2024
- State-registered IARs · 7 to 6Mar 30, 2023 to Mar 18, 2024
- Other offices · 6 to 5Mar 30, 2023 to Mar 18, 2024
- Discretionary RAUM · $388M to $463MMar 30, 2023 to Mar 18, 2024
Signals
16 dated events
- Laffer Tengler Investments, Inc. reported RAUM $800.1M, up 29% from $622.0M (2025-09-10 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Mark Steven Werner left Laffer Tengler Investments, Inc. for Lpl Financial Llc (registered 2026-08-25)Jan 13, 2026 · Advisor changed firm · fact
- Laffer Tengler Investments, Inc. reported RAUM $622.0M, up 34% from $462.6M (2024-05-07 to 2025-03-11)Mar 11, 2025 · RAUM change · derived
- Jonathan E Curley left Laffer Tengler Investments, Inc. for World Investment Advisors, Llc (registered 2023-05-02)Mar 1, 2023 · Advisor changed firm · fact
- Alec Louis Diamond left Laffer Tengler Investments, Inc. for Alliancebernstein L.P. (registered 2022-06-22)Sep 19, 2022 · Advisor changed firm · fact
- Richard Allen Grider left Laffer Tengler Investments, Inc. for My Prosper Team (registered 2024-09-13)Sep 15, 2022 · Advisor changed firm · fact
- Katherine Mach left Laffer Tengler Investments, Inc. for World Investment Advisors, Llc (registered 2026-01-05)Mar 4, 2022 · Advisor changed firm · fact
- Marie Katherine Mach (Chief Compliance Officer) no longer on Schedule A of Laffer Tengler Investments, Inc. (listed 2021-09-16, absent 2021-12-02)Dec 2, 2021 · Control person left · inference
- E Jonathan Curley (Chief Executive Officer) no longer on Schedule A of Laffer Tengler Investments, Inc. (listed 2021-09-16, absent 2021-12-02)Dec 2, 2021 · Control person left · inference
- Laffer Tengler Investments, Inc. reported RAUM $295.8M, up 92% from $154.4M (2021-03-10 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Laffer Tengler Investments, Inc. reported RAUM $154.4M, down 55% from $342.2M (2020-02-06 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- John Joseph Strycharz (Managing Partner) appeared on Schedule A of Laffer Tengler Investments, Inc.Nov 8, 2019 · Control person joined · fact
- Marie Katherine Mach (Assistant Compliance Officer) appeared on Schedule A of Laffer Tengler Investments, Inc.Nov 8, 2019 · Control person joined · fact
- Delbert Keith Butcher (Managing Partner) appeared on Schedule A of Laffer Tengler Investments, Inc.Nov 8, 2019 · Control person joined · fact
- E Jonathan Curley (Chief Executive Officer And Chief Compliance Officer) appeared on Schedule A of Laffer Tengler Investments, Inc.Nov 8, 2019 · Control person joined · fact
- Caven Nancy Tengler (Chief Investment Officer) appeared on Schedule A of Laffer Tengler Investments, Inc.Nov 8, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@laffertengler.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-838-3468reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/laffertenglerreportedpublic record, Form ADV, Sep 17, 2026
- Website
- laffertengler.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 800-838-3468reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- laffertengler.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $66.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026