Regulatory disclosures

Adam Broughton (SEC-registered investment adviser · CRD #4431657) is an investment adviser representative of Mission Wealth Management, LP (CRD #113057), an SEC-registered investment adviser. Brokerage and investment advisory services and fees differ, and it's worth understanding those differences before you decide to work with us.

What we offer. Ongoing investment management, financial planning, and advice tailored to your goals - typically equity compensation, liquidity events, tax planning, retirement, and multigenerational estate planning. We monitor accounts on an ongoing basis as part of that relationship; we don't offer advisory services on a one-time, unmonitored basis.

What you'll pay. Most clients pay an asset-based advisory fee, billed quarterly - see the fee schedule below. Some engagements also involve commissions on insurance or mortgage products we place. Fees are deducted from your account or billed directly, never bundled or hidden inside a product.

Conflicts to know about. Because we can be paid both an advisory fee and, in some cases, a commission, we have an incentive to recommend the products that pay us - see "Conflicts of interest" below for how we manage that.

Disciplinary history. Neither Adam Broughton nor Mission Wealth Management, LP has any reportable disciplinary event. You can verify this yourself, free of charge, at investor.gov/CRS or by searching CRD #113057 (firm) at adviserinfo.sec.gov.

This summary is not a substitute for the firm's full Form CRS and Form ADV Part 2A brochure, which we'll deliver before or at the time we make a recommendation or you sign an advisory agreement, per SEC Rule 17a-14. Request a copy any time - see Contact below.

Fees are blended, not a cliff - each tier's rate applies only to the assets within it. A $10,000 minimum annual fee applies to ongoing advisory relationships. Financial planning engagements without ongoing asset management are billed as a flat project fee, quoted in writing before work begins and agreed to in advance.

Where we place insurance or a mortgage on your behalf, the issuing carrier or lender pays us a commission directly - typically 1%–6% of face value for insurance and standard industry origination compensation for mortgages, depending on the product. You never pay us a commission directly, and we'll always show you the specific number before you sign anything.

The exact tiers, minimums, and commission ranges above are illustrative for this site and must match the firm's current Form ADV Part 2A, Item 5 exactly before publication - see COMPLIANCE.md.

Dual compensation. Because advisory fees and insurance/mortgage commissions are both possible within the same relationship, we have a financial incentive to recommend commissionable products, or to recommend more assets stay under advisory management than might otherwise be necessary. We manage this by disclosing, in writing and before you commit to anything, exactly how a specific recommendation compensates us.

No proprietary products. We don't manufacture or sell any in-house fund, insurance policy, or loan product. Every recommendation is selected from third-party providers on its merits for you, not because it's ours to sell.

No revenue-sharing arrangements. We don't accept payments from custodians, fund companies, or product sponsors for recommending their platform or products.

Fiduciary standard. For investment management and financial planning advice, we're legally required to act in your best interest ahead of our own - see the standard-of-care section on the About page for exactly where that standard applies and where the lower suitability standard applies instead.

Full detail on how these conflicts are identified and mitigated is in the firm's Form ADV Part 2A, Items 10 and 14 - available on request.

We collect only what you give us directly - through the intake form, or in conversation - to respond to your inquiry and, if you become a client, to provide our services. We don't sell your information, and this site doesn't use third-party advertising cookies or tracking pixels.

This is a summary; the full Privacy Policy covers what we collect, how we use it, how long we keep it, and your rights in detail, consistent with Regulation S-P's annual privacy notice requirement. We'll deliver the full annual notice to clients each year as required.