Rothwell Investment Advisors
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$186,620,294
Clients
707
Advisors
3
across 2 offices
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
Expertise
Main office
See office11 A Derby Square
Salem MA 01970
Advisors at this office
2
Offices (2)
Most active in
California · Connecticut · Florida · Louisiana · Maine · Massachusetts · Nebraska · New Hampshire · New Jersey · North Carolina · Puerto Rico · Texas
Also doing business as
Maitland Financial Group · Rothwell Investment Advisors · Rothwell Investment Advisors LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Advisors at this firm
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.
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.
Nicole S
Series 66
New Orleans, LA
Rothwell Investment Advisors
Nicole Stoufflet is a financial advisor at Rothwell Investment Advisors with 20 years of industry experience. She holds the Series 66 designation and has worked at LPL Financial since 2013 before joining Rothwell Investment Advisors in 2026. Based in New Orleans, LA, she is part of a three-advisor team at Rothwell. Rothwell Investment Advisors provides wealth management services to individuals, trusts, estates, charitable organizations, and corporations, combining discretionary asset management with financial planning. The firm manages over 700 client accounts through its wrap fee program and constructs portfolios using fundamental, technical, and quantitative analysis alongside Modern Portfolio Theory.
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