Adam C. Broughton

MISSION WEALTH MANAGEMENT, LP

Austin, TX 78746

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CRD#: 4431657

Professional summary

Adam Colby Broughton, CFP®, CPWA®, who also goes by Adam C. Broughton, is a registered financial advisor currently at MISSION WEALTH MANAGEMENT, LP located in Austin, Texas.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Adam has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam C. Broughton

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 Adam Colby Broughton'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®

CFP^®

Certified Financial Planner

Start date: 2012

CPWA^®

Certified Private Wealth Advisor

Start date: 2021-06-07

Expire date: 2023-05-31

Experience

Current

January 27, 2026 - Present

MISSION WEALTH MANAGEMENT, LP

Office #1: 901 S. Mopac Expressway Building 1, Suite 334, Austin, TX 78746

RIA

CRD#: 113057

Austin, TX

Past

August 23, 2017 - February 15, 2019

FAYKUS FINANCIAL, LLC

RIA

CRD#: 288957

AUSTIN, TX

Past

June 5, 2015 - February 5, 2026

PBL WEALTH MANAGEMENT

RIA

CRD#: 178522

AUSTIN, TX

Past

October 5, 2012 - June 9, 2015

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

BREA, CA

Past

October 5, 2012 - June 9, 2015

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

BREA, CA

Past

August 13, 2008 - November 1, 2011

CETERA WEALTH SERVICES, LLC

CRD#: 13572

ONTARIO, CA

Past

January 23, 2008 - August 13, 2008

PENSION PLANNERS SECURITIES, INC.

CRD#: 14068

ONTARIO, CA

Past

November 6, 2007 - November 19, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

GLENDALE, CA

Past

October 1, 2007 - November 19, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

GLENDALE, CA

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".

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 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

Texas
(1/27/2026)

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 66

Date: 11/5/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/9/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/28/2007

General Securities Representative Examination

Current Firm

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

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Contact information

Main Address

1111 Chapala Street 3rd Floor, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 882-2360

Established

Firm type

Fiscal year end

# of Employees

145

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MWM FORM ADV PART 2A - FIRM BROCHURE (5/20/2025)

Regulatory assets under management

Total Number of Accounts	12,456
AUM (Assets Under Management)	$ 10,024,060,630

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

Adam C. Broughton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Colby Broughton's CRS (Customer Relationship Summary).

Certified licenses

Experience

FAYKUS FINANCIAL, LLC

PBL WEALTH MANAGEMENT

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

CETERA WEALTH SERVICES, LLC

PENSION PLANNERS SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MISSION WEALTH MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 66

Date: 11/5/2007

SIE

Date: 6/9/2015

Series 7

Date: 9/28/2007

Current Firm

MISSION WEALTH MANAGEMENT, LP

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MISSION WEALTH MANAGEMENT, LP

TRUST BUT VERIFY

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