The Broughton Investment Group, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides investment and wealth management, financial planning, and educational services to individuals, high‑net‑worth clients, small businesses, and occupational specialties such as doctors, attorneys, and CPAs. It manages client portfolios on a discretionary, fee‑only basis and currently oversees roughly $19.5 million for about 54 client relationships with a small team of advisors.
The firm builds customized portfolios using a mix of tactical and dynamic asset allocation and principles of modern portfolio theory, drawing on fundamental and cyclical analysis to set asset mixes consistent with clients’ objectives, income needs, and risk tolerance. It operates under a fiduciary standard, monitors accounts on an ongoing basis, and implements client strategies through third‑party custodians with monthly billing in arrears.
Compared with many peers, the firm explicitly offers periodic market communications (newsletters, emails, or mailed updates) and hosts educational workshops for groups on topics such as retirement strategies and wealth management, services it describes as educational rather than sales‑oriented. It also emphasizes a fee‑only model without acceptance of third‑party commissions and maintains a policy of not voting client proxies, which are sent directly to clients by their custodians.
Client services
Expertise
Occupation focus
Fee options
Financial Planning fees up to $7,000, negotiable; Fixed fees generally ranging from $3,000 to $7,000, negotiable.
$5,000 - $1,000,000: 1.00% (Assets inside retirement plans, variable annuities, variable life insurance sub-accounts) $1,000,001 - $2,500,000: 0.85% (Assets inside retirement plans, variable annuities, variable life insurance sub-accounts) $2,500,001 - $5,000,000: 0.65% (Assets inside retirement plans, variable annuities, variable life insurance sub-accounts) $5,000,001+: 0.55% (Assets inside retirement plans, variable annuities, variable life insurance sub-accounts) $5,000 - $500,000: 2.50% (Assets managed at third-party custodians) $500,001 - $1,500,000: 2.00% (Assets managed at third-party custodians) $1,500,001 - $3,500,000: 1.75% (Assets managed at third-party custodians) $3,500,001+: 1.50% (Assets managed at third-party custodians)
Up to $300 per hour, negotiable.
Account minimum: $5,000 Fee-only: Fee-only basis, no commissions or third-party fees accepted.
Main office
3730 Kirby Drive, Suite 600
Houston TX 77098
Advisors at this office
1
Most active in
Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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