The Broughton Group

Merrill Lynch

The Broughton Group

Wealth Management

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Merrill Lynch
Wealth Management
Whatever your personal goals may be, we will work with you to develop a customized financial strategy designed to help you pursue what’s most important to you.

The Broughton Group


Our mission is to understand you and your priorities. To take the time, to ask hard, smart questions and to listen carefully, then to understand, in great detail, exactly where your wealth stands today, and where you'd like it to be tomorrow. We help you design, implement and periodically monitor a customized wealth management strategy that helps you and your family pursue your personal financial goals while managing investment risk. Our wealth management approach is about using wealth to help turn goals into reality.

Putting a knowledgeable team and disciplined approach on your side

Our multidisciplinary financial team has a deep and diverse set of complementary skills. Together, these capabilities can help you address your most important financial concerns—including portfolio management, retirement planning, and access to charitable giving and wealth transfer through Bank of America.

To help you evaluate your unique circumstances, we follow a three-stage wealth management process. The process starts when you first come to the Broughton Group, and continues throughout the course of our relationship.

Process working photo.jpg

Stage 1. Discover
To help you understand where your values and goals intersect with your financial strategy, we start by examining seven life priorities:

• Family • Home • Work • Leisure • Health • Finances • Giving

After discussing your goals in each of these areas, we use the Merrill Lynch Investment Personality Assessment (IPA) to help determine your mindset toward risk and your preferred investment approach.

Stage 2. Advise
Once we thoroughly understand the complexities and uniqueness of your situation, we use Merrill Lynch’s Wealth Outlook® process to help you develop a financial strategy. We also align that strategy with our team’s proprietary investment portfolios, which are specially designed to help address the long and short-term needs of clients with varying investing personalities. (For more on our active investment approach, see the “Investing” section of this site.)
We can provide access to banking services through Bank of America, as needed, to help address your credit and lending needs. We also can coordinate with your other professionals, such as attorneys and CPAs, to help provide you a consistent wealth management experience.

Stage 3. Monitor
Life is complicated. Markets are unpredictable. Your needs evolve. That’s why we offer a process to monitor and adjust your wealth management strategy as needed.
To help keep you on track, we also proactively interact with you through scheduled quarterly meetings—or whenever needed due to changes in your lifestyle or goals. We work to assess portfolios against relevant benchmarks, review progress toward goals and make changes as needed.

Actively managed portfolios designed for performance and risk management

We are active investment managers who use a value-oriented, quantitative approach to dynamically diversify portfolios across a range of asset classes.

In other words, we constantly evaluate global markets’ changing opportunities and challenges, so we can move in and out of investments as needed to help address your needs.

This approach underlies our five proprietary investment portfolios, which we can match to a range of objectives, risk tolerances, time horizons and liquidity needs.

We base our portfolios on our team’s decades of accumulated knowledge, as well as the latest market research, and seek to balance growth and income potential without taking on unnecessary risk.

Going where needed to address the everyday and long-term needs of a distinct client base

Our goal is to exceed clients’ expectations. By focusing our diverse skills on a select group of individuals, families and businesses, we believe we can best assist them in multiple aspects of their financial lives—whether that means helping develop strategies to address retirement planning and education funding goals, or coordinating with Merrill Lynch specialists to provide trust and estate planning services.

Beyond our team’s wealth management capabilities, we can provide clients access to banking services through Bank of America, including:

• Home financing
• Securities-based financing
• Wealth transfer and charitable giving

Maintaining a smaller client base supports our goal of addressing clients’ diverse needs, while delivering family-like care and attention to every individual we serve. We can meet with you however it’s most convenient and comfortable—whether that’s at our office, in your own home, online or over the phone. We travel to see many of our clients in person.

  • We want to earn your trust, which doesn’t happen overnight. Rather, it’s built through repeated interactions that help us deliver on your expectations. We never lose sight of this goal.Hudie Broughton


Merrill is proud of our advisors who’ve received recognition from industry publications. We believe they are setting the standard for exemplary client service.

Walter Broughton III

Forbes “Best-in-State Wealth Advisors”  2019

Barron’s 2018 “America’s Top 1,200 Financial Advisors: State-by-State”

Walter "Hudie" Thomas Broughton IV

Forbes/SHOOK “America’s Top Next-Generation Wealth Advisors” 2018

Forbes “Best-in-State Wealth Advisors”  2019

Meet the Team

Supported by the global resources of Merrill, our team is comprised of talented and experienced individuals committed to building strong client relationships based on trust and personalized service.

Your Financial Strategy

We offer you access to the investing insights of Merrill, as well as banking, trust and fiduciary services from Bank of America to help you pursue your goals. We will work to help you stay on track, regardless of what the markets are doing.

Taking care of your family and other people in your life
  • Trust & Estate Services2
  • Education Funding Strategies1
  • Insurance3
Planning for healthcare expenses now and in the future
  • Long-term Care Insurance3
  • Health Savings Account2
  • Disability Insurance3
Upsizing, downsizing, remodeling or buying a vacation home
  • Home Loans2
  • Home Equity Lines of Credit2
  • Securities-Based Lending2
  • Credit Cards2
Working in retirement, selling or starting a business
  • Bank of America Business Banking2
  • Exchange Funds1
  • Concentrated Stock Management1
  • Succession Planning1
Spending your free time in meaningful ways
  • Credit Cards2
  • Securities-Based Lending2
  • Structured Lending2
Volunteering, mentoring others and giving to charities
  • Donor-Advised Funds2
  • Private Foundations2
  • Charitable Trusts2
Using your finances to bring it all together
  • Merrill Lynch Investment Accounts1
  • Investment Advisory Accounts1
  • Alternative Investments1
  • Exchange-Traded Funds1
  • Mutual Funds1
  • Closed-end Funds1
  • Fixed Income Products1
  • Options1
  • Annuities3
  • Impact Portfolios1
  • Market-Linked Investments1
  • Securities-Based Lending2
  • Margin1
  • Home Loans2
  • Bank of America Checking and Savings Accounts2
  • Credit Cards2
  • Online Account Access1,2

1Investment products are offered by Merrill Lynch, Pierce, Fenner & Smith Incorporated.
2Banking products are offered by Bank of America, N.A.
3Insurance and annuity products offered through Merrill Lynch Life Agency Inc.

Staying on Track

We understand that both your life and the financial markets can change over time. By periodically checking in to discuss changes in your life and revisiting your financial strategy, our goal is to help you stay on track to achieve what's most important to you.

Regular reviews to help you stay on track
Regular reviews to help you stay on track

We'll meet with you periodically to review your goals and the progress you’ve made toward reaching them. We'll also discuss any adjustments needed to your financial strategy to help you stay on course.

    Monitoring changes in your life and to your goals
    Monitoring changes in your life and to your goals

    Your life and goals change. We can help you keep track of these changes so they can be reflected in your financial strategy.

    Access to what you need, when you need it

    MyMerrill is your online destination for access to your financial information, secure communications, and a robust offering of tools and capabilities

    Your advisor is a click away within our site or mobile apps

    You can manage account security with our customizable security capabilities such as touch ID, one time passcode, and other security features

    Access to your complete financial life is available with My Financial Picture, Merrill's asset aggregation tool

    • Your advisor is never more than a click away within our site or mobile apps
    • Manage account security with our customizable security capabilities such as touch id, one time passcode, and other security features
    • Access to your complete financial life is available with My Financial Picture, Merrill's asset aggregation tool

    *Peace of mind is an aspirational state of mind that clients hope to achieve. There are no guaranteed results following completion of the Goals-Based Wealth Management process because markets can fluctuate and investments can lose value. Merrill Lynch Wealth Management Advisors work with clients to help them understand how the goals based wealth management process can help to address their concerns, financial situation and priorities.

    Let’s Have a Conversation

    Helping you reach your goals starts with getting to know you personally. Through understanding what matters most to you, we can help you create a financial strategy that reflects your personality. Only then can we offer an approach that is built around your life priorities and the ongoing advice you need to help you manage fluctuations in the market and changes in your life. Let’s work together to help you achieve your goals.

    Why Merrill Lynch?

    As Merrill Lynch Wealth Management Advisors, we will sort through the financial complexities of your life, helping you build a customized investment strategy to pursue your goals.


    We put you first, every day.
    Learn more about the dedicated one-on-one relationship you can have with a Merrill Lynch Wealth Management Advisor.

    Personalized advice from a dedicated financial advisor.

    Getting to know you is our primary goal.

    A comprehensive approach, built around your life’s priorities.

    Drawing from our experience and the best thinking of Merrill, we will build a strategy that reflects your unique needs, priorities and financial situation.

    Adjusting your plan as your life and the markets change.

    We will work to help you stay on track, regardless of what the markets are doing.