{"url":"https://nivawealth.com/firms/rothwell-investment-advisors-337504","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/337504","regulatoryAum":187689302,"crd":"337504","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5452564","suffix":null,"lastName":"MAITLAND","firstName":"BARBARA","middleName":"JEAN"},{"crd":"6823428","suffix":null,"lastName":"MAITLAND","firstName":"MARK","middleName":"ANDREW"},{"crd":"4290006","suffix":null,"lastName":"STOUFFLET","firstName":"NICOLE","middleName":"MARIE"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-07-03","regulatoryAum":0,"clients":0,"employees":4,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":187689302,"clients":709,"employees":5,"offices":1}],"secFileNumber":"801-133979","legalName":"Rothwell Investment Advisors LLC","displayName":"Rothwell Investment Advisors","slug":"rothwell-investment-advisors-337504","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Massachusetts limited liability company","fiscalYearEnd":"December","headquarters":{"street":"11a Derby Square","city":"Salem","state":"MA","stateName":"Massachusetts","country":"United States","postalCode":"01970"},"tradeNames":["Maitland Financial Group"],"registration":{"secApproved":"29 July 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":263960.8118811881,"staff":{"employees":5,"advisory":3,"brokerDealerReps":3,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":187689302,"discretionary":187689302,"discretionaryAccounts":1363,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":187689302,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":576,"regulatoryAum":94762866},{"label":"High-net-worth individuals","clients":131,"regulatoryAum":91857428},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":7769},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":1061239}],"feePrograms":[{"role":"main","program":"Wealth management services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034013","versionId":1034013,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-30","documentName":"RIA - WRAP FEE PROGRAM BROCHURE","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T18:06:53.028517+00:00","documents":[{"name":"RIA - WRAP FEE PROGRAM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034013","versionId":1034013,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Fort Mill, SC","smaAssets":188696420}],"custodyNote":"Rothwell Investment Advisors has custody of $80.9M for 439 clients.","otherCustodians":[],"leadership":[{"name":"Barbara Maitland","title":"Owner","crd":"5452564"},{"name":"Nicole Stoufflet","title":"Wealth Manager / CCO","crd":"4290006"}],"ownership":[{"label":"Barbara Maitland","detail":"Owner in the 75% or more ownership band and a control person, since June 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Massachusetts","offices":1,"addresses":[{"street":"11a Derby Square","city":"Salem","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"978-594-8828","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":83},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"U.S. state and local bonds","percent":9},{"label":"Securities issued by registered investment companies or business development companies","percent":5},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/337504/PDF/337504.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034013","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Rothwell Investment Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Rothwell Investment Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Rothwell Investment Advisors charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Rothwell Investment Advisors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Rothwell Investment Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Rothwell Investment Advisors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Rothwell Investment Advisors?","answer":"Rothwell Investment Advisors’ direct owner is Barbara Maitland (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Rothwell Investment Advisors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Rothwell Investment Advisors?","answer":"Rothwell Investment Advisors’ main office is at 11a Derby Square, Salem, MA 01970. Its phone number is 978-594-8828.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}