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Rothwell Investment Advisors

Updated today

Client assets under management

$186,620,294

Clients

707

19% high-net worth

Advisors

3

of 5 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

236

Very High

Average account size

$263,961

About

Rothwell Investment Advisors offers wealth management services to individuals, trusts, estates, charitable organizations, and corporations, combining discretionary asset management with comprehensive financial planning. The firm provides portfolio management on a wrap fee basis and supplies written financial plans and online client portal access as part of its services.

RIA serves as the sponsor and sole portfolio manager of its wrap fee program, constructing portfolios around clients’ goals, time horizons, and risk tolerances and employing methods such as fundamental, technical, quantitative analysis, and Modern Portfolio Theory. All asset management clients receive financial planning at no charge, and the firm uses third‑party analytics (including Morningstar metrics) and covers its own research costs when evaluating investments.

What stands out for this firm is its unusually high client load—managing over 700 client accounts with three advisors (more than 200 clients per advisor)—and its dual role as the wrap fee sponsor and sole portfolio manager, with the brochure noting that transaction costs in wrap accounts are paid by the firm and may create a disincentive to trade. The brochure also discloses ties to LPL Financial: some investment adviser representatives are dually registered as LPL registered representatives and the firm may receive support or economic benefits from LPL, which the firm identifies as a potential conflict of interest.

Client services

Financial planning Portfolio management

Expertise

Wealth management

Main office location

Rothwell Investment Advisors

11 A Derby Square

Salem MA 01970, United States

Number of offices

1

Most active in

California · Connecticut · Florida · Louisiana · Maine · Massachusetts · Nebraska · New Hampshire · New Jersey · North Carolina · Puerto Rico · Texas

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Advisors at this firm

user avatar

Barbara M

Series 66

Salem, MA

Rothwell Investment Advisors

Barbara Maitland is a financial advisor with Rothwell Investment Advisors and holds a Series 66 designation. She has 18 years of industry experience, including prior roles at Flagship Harbor Advisors and LPL Financial. Outside of her advisory work, she is involved in several music-related activities in Salem, MA, including organizing group and family music instruction, and she is a certified pickleball coach. Rothwell Investment Advisors provides wealth management services to individuals, trusts, estates, charitable organizations, and corporations, combining discretionary asset management with comprehensive financial planning. The firm manages accounts on a discretionary basis and uses various analytical methods and investment vehicles tailored to client goals and risk tolerance.

Wealth management
user avatar

Mark M

Series 66

Salem, MA

Rothwell Investment Advisors

Mark Maitland is a financial advisor at Rothwell Investment Advisors with six years of industry experience. He holds a Series 66 designation and previously worked at LPL Financial and Flagship Harbor Advisors. Maitland serves as a board member of the nonprofit Mettafore. Rothwell Investment Advisors provides wealth management services to individuals, trusts, estates, charitable organizations, and corporations, combining discretionary asset management with comprehensive financial planning. The firm manages accounts on a discretionary basis using various analytical methods and serves approximately 695 clients with two advisors.

Wealth management
user avatar

Nicole S

Series 66

New Orleans, LA

Rothwell Investment Advisors

Nicole Stoufflet is a financial advisor at Rothwell Investment Advisors in New Orleans, LA, holding a Series 66 designation with over a decade of experience. She has been associated with LPL Financial since 2013 and has also operated as a self-employed advisor since 2012. Rothwell Investment Advisors provides wealth management services to individuals, trusts, estates, charitable organizations, and corporations, combining discretionary asset management with comprehensive financial planning. The firm manages accounts on a discretionary basis using various analytical methods and serves a large client base without imposing a minimum account size.

Wealth management
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