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ROTHWELL INVESTMENT ADVISORS

SALEM, MA · CRD 337504 · IAPD ↗ · maitlandfinancialgroup.com · 978-594-8828

$187.7MRegulatory AUM
3Advisory reps
5Employees
0Clients
0Planning clients
0Private funds
12States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
April 2026 — ROTHWELL INVESTMENT ADVISORS now reports custody of client assets ($80.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
January 2026 — ROTHWELL INVESTMENT ADVISORS's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
August 2025 — ROTHWELL INVESTMENT ADVISORS (SALEM, MA) is newly SEC-registered with $0 RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.