Rothwell Investment Advisors provides financial planning and portfolio management for individuals and small businesses.
Rothwell Investment Advisors reports 709 clients. They include 576 individual clients, 131 high-net-worth individuals and 1 charitable organization. Of its assets, 100.0% ($188M across 1,363 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $188M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 81% | 50% |
| High-net-worth individuals | 18% | 49% |
| Charitable organizations | <1% | <1% |
| Corporations and other businesses | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 576 | $94.8M | 50.5% | $165K |
| High-net-worth individuals | 131 | $91.9M | 48.9% | $701K |
| Charitable organizations | Fewer than 5 | $7.77K | 0.0% | $7.77K |
| Corporations and other businesses | Fewer than 5 | $1.06M | 0.6% | $1.06M |
| Total | 709 | $188M | 100% | — |
- Clients
- 576
- Regulatory AUM
- $94.8M
- AUM share
- 50.5%
- Avg. per client
- $165K
- Clients
- 131
- Regulatory AUM
- $91.9M
- AUM share
- 48.9%
- Avg. per client
- $701K
- Clients
- Fewer than 5
- Regulatory AUM
- $7.77K
- AUM share
- 0.0%
- Avg. per client
- $7.77K
- Clients
- Fewer than 5
- Regulatory AUM
- $1.06M
- AUM share
- 0.6%
- Avg. per client
- $1.06M
Total
- Clients
- 709
- Regulatory AUM
- $188M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Rothwell Investment Advisors charges 0.50%–1.00% a year for its Wealth management services. The fee is billed in advance and is negotiable.
Fee details and sources
Barbara Maitland owns 75% or more of Rothwell Investment Advisors. It has 5 employees, 3 of them in advisory roles.
Staff
- 5 employees
- 3 in advisory functions
- 3 state-registered reps
- 3 broker-dealer reps
- 2 insurance agents
- Owns 75% or more of Rothwell Investment Advisors LLC
Barbara Maitland
Control person · since June 2025
Rothwell Investment Advisors’ regulatory assets grew Infinity× from $0 (July 2025) to $188M (March 2026); employees rose from 4 to 5.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $188M | 709 | 5 | 1 |
| Jul 2025July 2025 | $0 | 0 | 4 | 1 |
Besides its headquarters, Rothwell Investment Advisors has 0 offices, with 1 listed address in 1 state.
Massachusetts · 1 listed address
- 11a Derby Square, SalemHQ
Other business names
Rothwell Investment Advisors has reported 1 other business name to the SEC.
- Maitland Financial Group
Contact and registration details
- Legal name
- Rothwell Investment Advisors LLC
- Headquarters
- 11a Derby Square, Salem, MA 01970
- Website
- Not reported
- Phone
- 978-594-8828
- SEC file
- 801-133979
- Structure
- Massachusetts LLC
- Fiscal year end
- December
Rothwell Investment Advisors’ named custodian for separately managed accounts is LPL Financial ($189M). Rothwell Investment Advisors has custody of $80.9M for 439 clients.
The filed custodian amounts total more than regulatory assets under management. Each amount is shown as filed.
- LPL FinancialLPL Financial LLC · Fort Mill, SC · $189M100%
At year end, Rothwell Investment Advisors’ separately managed accounts were mostly in stocks (84%).
What the accounts hold
- Stocks84%
- Exchange-traded equities83%
- Non-exchange-traded equities1%
- Funds5%
- Bonds9%
- Cash2%
How many clients does Rothwell Investment Advisors have?
Rothwell Investment Advisors has 709 clients and manages $188 million for them, as of March 2026. They include 576 individual clients, 131 high-net-worth individuals and 1 charitable organization.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026
What services does Rothwell Investment Advisors offer?
Rothwell Investment Advisors provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Rothwell Investment Advisors charge?
Rothwell Investment Advisors charges 0.50%–1.00% a year for its Wealth management services. The fee is billed in advance and is negotiable.
Source: RIA - WRAP FEE PROGRAM BROCHURE, filed 30 March 2026
Which custodians does Rothwell Investment Advisors use?
Rothwell Investment Advisors’ separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $189M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026
How many financial advisors does Rothwell Investment Advisors have?
Rothwell Investment Advisors has 3 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Rothwell Investment Advisors invest in?
At the end of its last fiscal year, Rothwell Investment Advisors’ separately managed accounts held 83% exchange-traded equities, 9% state and local bonds, 5% registered funds (mutual funds, ETFs, BDCs), 2% cash and equivalents and 1% non-exchange-traded equities.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Rothwell Investment Advisors?
Rothwell Investment Advisors’ direct owner is Barbara Maitland (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026
How does Rothwell Investment Advisors get paid?
Rothwell Investment Advisors is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Rothwell Investment Advisors?
Rothwell Investment Advisors’ main office is at 11a Derby Square, Salem, MA 01970. Its phone number is 978-594-8828.
