Wealth manager, wrap-program sponsor · Salem, MA
Rothwell Investment Advisors
Rothwell Investment Advisors LLC · SEC-registered investment adviser · CRD 337504 · SEC 801-133979
At a glance
Rothwell Investment Advisors is an SEC-registered investment adviser based in Salem, Massachusetts, with $188 million in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is individuals, and it reports 707 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 6,033rd of 8,915 wealth managers and 12,561st of 17,210 SEC-registered advisers by assets.
Main office 978-594-8828maitlandfinancialgroup.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $188M
- Rank among wealth managers
- #6,033 of 8,915
- Rank among all SEC RIAs
- #12,561 of 17,210
- Rank in Massachusetts
- #517 of 627
- Individual clients
- 707
- High-net-worth clients
- 131
- Accounts
- 1,363
- Discretionary
- 100% of AUM
- Employees
- 5
- Advisory staff
- 3
- Offices
- 1
Owners and executives on its Form ADV
- Barbara J. MaitlandOwner
- Nicole M. StouffletWealth Manager / CCO
Custody and brokerage
Broker-dealer
Hybrid RIA
Rothwell Investment Advisors is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 576 | $95M | 50% |
| High-net-worth individuals | 131 | $92M | 49% |
| Corporations or other businesses | 1 | $1M | <1% |
| Charitable organizations | 1 | $0M | <1% |
Disciplinary disclosures
Rothwell Investment Advisors reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗maitlandfinancialgroup.com ↗
AtlasMembers
The full record on Rothwell Investment Advisors
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 1 years of filings
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- Growth over one, three and five years
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- Rank against 5,858 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Rothwell Investment Advisors manage?
Rothwell Investment Advisors reports $188 million in regulatory assets under management across 1,363 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is Rothwell Investment Advisors?
Rothwell Investment Advisors is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Rothwell Investment Advisors’s clients?
By assets, its largest client types are individuals ($95 million, 576 clients); high-net-worth individuals ($92 million, 131 clients); corporations or other businesses ($1 million, 1 clients).
Does Rothwell Investment Advisors have any disciplinary history?
Rothwell Investment Advisors reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Rothwell Investment Advisors’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →