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Adam Broughton
Adam Broughton

Wealth · Investment · Insurance · Commodities

Adam Broughton

CFP® CPWA®

Based in Austin, Adam helps executives, founders, high-earning professionals, and multigenerational families navigate equity compensation, liquidity events, complex taxes, retirement, and legacy planning

Request an introduction Call (713) 555-0148

Ways to connect

By video

One link, nothing to install. The same call anywhere you are worldwide.

By phone

A direct line, not a call center. (713) 555-0148 rings my desk, not a queue.

Credentials & registrations

CFP® CPWA®
CERTIFIED FINANCIAL PLANNER™
CFP Board
Certified Private Wealth Advisor
CPWA

Years in practice

14

Regulatory registration

SEC-registered investment adviser · CRD #4431657

Professional memberships

  • Financial Planning Association (FPA)
  • National Association of Insurance and Financial Advisors (NAIFA)
  • American Chamber of Commerce, Austin

Registration history

Every firm I've been registered with as an investment adviser representative, per FINRA BrokerCheck — nothing left off.

  1. Current

    Registered since 1/27/2026

    Mission Wealth Management, LP

    IA · CRD #113057

    901 S. MoPac Expressway Building V, Suite 250, Austin, TX 78746

  2. 06/05/2015 – 02/05/2026

    PBL Wealth Management

    IA · CRD #178522

    Austin, TX

  3. 08/23/2017 – 02/15/2019

    Faykus Broughton, LLC

    IA · CRD #288957

    Austin, TX

  4. 10/05/2012 – 06/09/2015

    Independent Financial Group, LLC

    IA · CRD #7717

    Brea, CA

  5. 11/06/2007 – 11/19/2007

    Ameriprise Financial Services, Inc.

    IA · CRD #6363

    Glendale, CA

Professional background

Adam began his career in financial planning in November 2012, at the onset of the global financial crisis. Experiencing such a significant period early in his career profoundly influenced his approach to financial planning and investing, reinforcing his belief in the importance of objective, fiduciary-based advice. He understands that markets can be unpredictable and that unexpected events can significantly affect even the most carefully developed financial strategies.

His approach goes beyond simply creating a “Plan A.” Adam works with clients to develop alternative strategies and contingency plans that can adapt as circumstances and market conditions change. His focus is on providing thoughtful, timely guidance and practical financial planning that gives clients greater confidence and peace of mind, even when life doesn’t unfold as anticipated. He provides tax-intelligent financial and investment advice to help his clients avoid mistakes and confidently navigate the journey from high earner to High-Net-Worth and beyond. His typical client involves a high degree of financial complexity, which may include equity grants from an employer, deferred compensation planning, multiple sources of income, unique family entity or trust structures, IPO, and founder liquidity planning, as well as philanthropic, legacy, and multi-generational estate planning,

Adam is a CERTIFIED FINANCIAL PLANNER™ Professional and CERTIFIED PRIVATE WEALTH ADVISER™ Professional. He has authored several books, including The Founder’s Guide to Business Succession and Maximizing Your Compensation: An Executive’s Guide to Accelerating Wealth. He also contributed to So You Want To Be A Financial Planner? (7th edition).

Adam joined Mission Wealth in January 2026 following the integration of PBL Wealth Management, the independent fiduciary firm he founded, into Mission Wealth. The transition maintained PBL’s commitment to disciplined, tax-conscious financial planning while providing clients with access to Mission Wealth’s broader team, expertise, and resources. His expertise and insights have been featured across respected financial and industry publications, including Forbes, MyStockOptions.com, and Horsesmouth.com.

Standard of care & how I’m paid

Standard of care

As a registered investment adviser, I act as a fiduciary for Senior executives and business leaders, founders preparing for liquidity events, high-earning professionals with growing financial complexity, families with multiple income sources, families coordinating complex tax, investment, and estate decisions, multigenerational families with charitable or legacy goals.

Compensation

I'm compensated in more than one way, depending on what we're working on together: an asset-based advisory fee, billed quarterly, for investment management and financial planning; and commissions on insurance policies or mortgages I place, paid by the issuing carrier or lender, not by you directly. I'll show you the specific number before you sign anything - never after.

Areas served

Austin West Lake Hills Lakeway Dallas Newport Beach San Diego Communities throughout Texas and California Available nationwide by video

In the field

  • Adam Broughton at the Uptown Austin office

    Uptown Austin office

  • Adam Broughton on a client video call

    A client review, by video

  • Adam Broughton on site with an energy-sector client

    On site with an energy-sector client

  • Adam Broughton speaking at a Austin financial-literacy workshop

    A financial-literacy workshop, Austin

  • Adam Broughton between meetings

    Between meetings

  • Adam Broughton, downtown Austin

    Home base: Austin, TX

Client testimonials

Adam walked us through the tax implications of our equity and the liquidity event months before the deal closed. By the time we signed, there were no surprises left.
Sarah K., startup founder, Austin
Between deferred comp, RSUs, and a trust for our kids, our finances had gotten complicated fast. Adam was the first advisor who actually had a plan for all of it, not just the parts he was comfortable with.
Michael R., technology executive, Dallas
We're three generations with very different needs, and Adam is the only advisor who's ever gotten all of us in the same room and made the plan make sense for everyone.
The Whitfield Family, Newport Beach, CA

Testimonials reflect the experiences of individual clients and may not be representative of every client's experience. Clients were not compensated for these statements. Past experience does not indicate future results. See our Disclosures page for details.

Frequently asked questions

What should I expect from our first conversation?
Thirty minutes, usually by video. I ask more questions than I answer - about your accounts, your goals, and what's actually keeping you up at night - and I'll tell you plainly whether I think I can help before we talk about next steps.
Who else on your team might I work with?
For day-to-day service - statements, transfers, scheduling - you'll often work with my client services associate. For anything involving advice or a recommendation, that's always me directly, not a rotating advisor pool.
Are you a fiduciary?
Yes, for investment management and planning advice - see the standard-of-care section above for exactly where that standard applies and where a different one does.
How often will we actually meet?
Quarterly at minimum once we're working together, with a deeper annual review. Markets or life events that matter to your plan get a call the same week, not a note in the next scheduled meeting.
Can we work together if I live outside Austin, or outside the U.S.?
Yes - most of my cross-border clients are exactly that. Video handles the relationship well; where local licensing affects what I can transact, I'll tell you upfront, not after we've started.
What does it cost to work with you?
It depends on what we're doing - see the fee section above. I'll give you a specific number in writing before anything is signed, and there's no cost to the first conversation.

What happens next

  1. Send your details

    A two-minute form. No obligation, and no automated sales sequence afterward.

  2. A 20-minute call

    With me directly, not a screener - to hear what you need and tell you plainly if I'm the right fit.

  3. A written plan outline

    Before you decide anything, so you can evaluate it on paper, on your own time.

Prefer to skip the form? Call (713) 555-0148 or email info@investwithadambroughton.com.

This helps me prepare for our first call - it's not a minimum, and it's not a barrier to reaching out.

Preferred meeting mode