SourcingSourcing

ROTHWELL INVESTMENT ADVISORS LLC

C49
CRD 337504·SEC 801-133979·SALEM, MA
AUM
$187.7M
$100M-$500M
Est. Revenue
$1.9M
@ 1% on AUM
Est. EBITDA
$563K
@ 30% margin
Est. Deal Value
$4.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ROTHWELL INVESTMENT ADVISORS LLC
CRD
337504
SEC file #
801-133979
EIN
—
DBA names
Rothwell Investment Advisors

Economics

AUM
$187.7M
AUM band
$100M-$500M
AUM trajectory
'25'26
$188.7M → $187.7M▼ -1%
Client mix
Individuals Other576
Individuals High Net Worth131
Charitable Organizations1
Corporations1

Operations

Employees (total)
5
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'25'26
2 advisors → 3 advisors▲ +50%
Primary office
SALEM MA
Branches
—

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUM

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
maitlandfinancialgroup.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MAITLAND, BARBARA, JEAN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
MAITLAND, BARBARA, JEAN
STOUFFLET, NICOLE, MARIE
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
MAITLANDFINANCIALGROUP.COM
Rdap Domain Creation Date
2020-04-16T19:09:44Z
Rdap Firm Age Years
6
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.2675
Soi Zip Pct 200k Plus
0.0723
Soi Zip Returns 200k Plus
1,700
Soi Zip Total AGI
1,981,469
Census Median Hh Income
79,267
Census High Income Households
2,274
Census Median Age
38
Census Pop 65 66 Total
998
Census Total Households
19,827
Fdic Zip Total Deposits
53,663,436,000
Fdic Zip Branch Count
509
Fdic Zip Top Banks
Salem Five Cents Savings Bank
Eastern Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (28)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
3
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Census Bachelors Plus Count
9,195
Census Median Home Value
464,600
Census Unemployed Count
1,350
Census Zip
01970
Custodian Candidates
Full
Lpl Financial4
E*trade4
Fdic Zip Branches Raw
Shawmut Bank, National AssociationSalem, MA
Century Bank and Trust CompanySalem, MA
Fdic Zip HHI
4012.45
Fdic Zip Top Bank Share Pct
60.68
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2030-04-16T19:09:44Z
Rdap Domain Last Changed
2022-11-14T15:33:57Z
Rdap Nameservers
Ns05.domaincontrol.comNs06.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI63,239
Returns5,300
Stub 2
AGI190,108
Returns5,060
Stub 3
AGI250,081
Returns4,060
Soi Zip Total Business Income
77,795
Soi Zip Total Cap Gains
54,499
Soi Zip Total Dividends
23,460
Soi Zip Total Returns
23,510
Top Owner CRD
5452564
Trust Company Affiliate
No

People (3)

3
MAITLAND, BARBARA, JEAN
IAR · Direct Owner · 87.5%
5452564
STOUFFLET, NICOLE, MARIE
IAR · Executive Officer · 2.5%
4290006
MARK ANDREW MAITLAND
IAR
6823428