# Rothwell Investment Advisors

> Rothwell Investment Advisors is an SEC-registered investment advisory firm in Salem, MA, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 337504
- Filed as: ROTHWELL INVESTMENT ADVISORS
- Legal name: Rothwell Investment Advisors LLC
- Also doing business as: MAITLAND FINANCIAL GROUP
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Salem, MA
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/337504
- AdvisorCensus page: https://advisorcensus.com/firm/rothwell-investment-advisors-salem-ma-337504

## Quick answers

**How is Rothwell Investment Advisors compensated?**
On its Form ADV (Item 5.E, October 2026), Rothwell Investment Advisors reports these compensation arrangements: a percentage of assets under its management.

**Where is Rothwell Investment Advisors located?**
Rothwell Investment Advisors' principal office is in Salem, MA, according to its Form ADV.

**Is Rothwell Investment Advisors registered with the SEC or a state?**
Rothwell Investment Advisors is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 337504.

**How much does Rothwell Investment Advisors manage?**
Rothwell Investment Advisors reports $187,689,302 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Rothwell Investment Advisors' assets and staff changed since 2025?**
In the Form ADV data for Rothwell Investment Advisors: Regulatory assets under management: $0 in the October 2025 data and $187,689,302 in the October 2026 data. Total employees: 4 in October 2025 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Rothwell Investment Advisors serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (576); high net worth individuals (131); charitable organizations (1).

**Which custodians does Rothwell Investment Advisors use?**
Rothwell Investment Advisors' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists LPL Financial LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Rothwell Investment Advisors report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/337504

**Does Rothwell Investment Advisors state an account minimum?**
Its Form ADV Part 2A brochure dated March 30, 2026 says: "There is no minimum account size , and Clients are not required to have a certain amount of investment experience or sophistication."

**What changed in Rothwell Investment Advisors' recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 2 to 3. Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Account minimum: None

> There is no minimum account size , and Clients are not required to have a certain amount of investment experience or sophistication.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- LPL Financial LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $187,689,302
- Discretionary: $187,689,302
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 576 | $94,762,866 |
| High net worth individuals | 131 | $91,857,428 |
| Charitable organizations | 1 | $7,769 |
| Corporations or other businesses not listed above | 1 | $1,061,239 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2025 (1 year)
- Employees: 5 total, 3 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: CA, CT, FL, LA, MA, ME, NC, NE, NH, NJ, PR, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [maitlandfinancialgroup.com](https://maitlandfinancialgroup.com)
- Facebook @MaitlandFinancial
- LinkedIn @maitland-financial-group

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $0 | 4 | July 3, 2025 |
| October 2026 | $187,689,302 | 5 | March 30, 2026 |

Regulatory assets under management: $0 in the October 2025 data and $187,689,302 in the October 2026 data.
Total employees: 4 in October 2025 and 5 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 2 to 3.
- Updated its list of owners and control persons (Schedule A).

### December 2025
- Regulatory assets under management went from $0 to $188,696,420.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rothwell Investment Advisors (CRD 337504): Form ADV filing data as of October 2026.