# The Broughton Investment Group, Inc.

> The Broughton Investment Group, Inc. is a state-registered investment advisory firm in Houston, TX, registered since 2012, reporting under $25 million in regulatory assets under management in its Form ADV filing dated May 24, 2023.

- CRD: 164389
- Filed as: THE BROUGHTON INVESTMENT GROUP, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Houston, TX
- Filing period: October 2026
- Form ADV filing dated: May 24, 2023
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/164389
- AdvisorCensus page: https://advisorcensus.com/firm/the-broughton-investment-group-inc-houston-tx-164389

## Quick answers

**How is The Broughton Investment Group, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), The Broughton Investment Group, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is The Broughton Investment Group, Inc. located?**
The Broughton Investment Group, Inc.'s principal office is in Houston, TX, according to its Form ADV.

**Is The Broughton Investment Group, Inc. registered with the SEC or a state?**
The Broughton Investment Group, Inc. is a state-registered investment advisory firm, registered since 2012. Status as filed: APPROVED. CRD 164389.

**How much does The Broughton Investment Group, Inc. manage?**
The Broughton Investment Group, Inc. reports $19,500,000 in regulatory assets under management in its Form ADV filing dated May 24, 2023 (100% discretionary).

**What types of clients does The Broughton Investment Group, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (54).

**Does The Broughton Investment Group, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/164389

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $19,500,000
- Discretionary: $19,500,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 54 | $13,605,000 |
| High net worth individuals | Fewer than 5 | $5,895,000 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Publication of periodicals or newsletters
- Educational seminars/workshops

### Firm details
- Registered since: 2012 (14 years)
- Employees: 6 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- broughtoninvestments.com
- Facebook @broughtoninvestment
- Instagram @broughtongroup
- LinkedIn @broughtoninvestmentgroup
- X @broughton_group
- YouTube @UCxDS2Yc5kFiyWjVu_sRRwIA

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. The Broughton Investment Group, Inc. (CRD 164389): Form ADV filing data as of October 2026.