Wealth, insurance and investments, under one roof in New York.
Rothswell is an integrated financial services and asset management platform being established in New York, for individuals, families, businesses and institutions.
What we do
Our businesses
The platform’s investment engine.
An institutional investment-management business intended to manage liquid strategies and, over time, private investments. Its flagship vehicle, American Legacy Fund, is being established with Rothswell Asset Management intended to act as investment manager.
| Role | Investment manager and general-partner functions for the platform’s funds |
| Status | Organized in Delaware. Pre-launch; manages no client assets. The fund is not open for investment. |
Planning for families, owners and executives.
A registered investment adviser, to be established or acquired, intended to provide financial planning, portfolio management and estate and tax coordination, as a fiduciary, from first savings to business succession and legacy.
| Role | Fiduciary advisory relationships, held separately from fund management |
| Status | Planned. Not registered; no advisory services provided. |
Protecting what you own and the people you love.
Life and health insurance offered by the agency, separately from the Brightway franchise, as agent and as broker. Property and casualty through Brightway Insurance, with special attention to luxury items such as watches, diamonds and jewelry, and specialized coverage for lawyers and law firms.
| Regulator | New York State Department of Financial Services |
| Licenses | Agency agent LA-1997378 and life broker LB-1997378; producer life broker LB-1951560 and agent LA-1951560 |
| Status | Licensed |
Build, run and grow your company.
For new companies, existing companies and those expanding their presence: entity formation and banking, tax and accounting, a fractional CFO, go-to-market and marketing, introductions, and a permanent headquarters in New York.
| Provided by | Rothswell. Not a securities or investment banking service |
| Status | Available |
Start or grow a business with EB-5 capital.
EB-5 project design and structuring for developers and businesses, coordinated with immigration and securities counsel.
| Status | Available |
Status is stated as of October 2026. Planned businesses have not been launched, registered or licensed. American Legacy Fund is not offered through this website; any offering would be made only through definitive offering documents to eligible investors under an available exemption from registration.
Insurers and partners
Life and health coverage from insurers available in New York.
Access to insurers through our agency, our brokerage general agency and other distribution channels. Availability varies by product and is subject to carrier appointment and underwriting. We identify each insurer by its full legal name and home office city before any application.
Property and casualty carriers
Home, auto, business and valuables coverage through the Brightway network in New York.
Property and casualty coverage is offered through the Brightway Insurance network in New York, subject to the agency's licensing. Carrier availability varies by product, property and location and is subject to appointment, underwriting and confirmation. We identify each insurer by its full legal name and home office city before any application. Property and casualty insurance
Franchise affiliation
Property and casualty insurance through Brightway Insurance
Brightway Insurance, LLC is the franchisor of The Rothswell Agency LLC and is not a parent, owner or affiliate of Rothswell. Logos are trademarks of their respective owners; their use does not imply endorsement.
The Rothswell Agency
Insurance and risk management for individuals, families and businesses.
Protecting a balance sheet is part of managing one. The Rothswell Agency offers life and health insurance in New York and, subject to licensing, property and casualty coverage through Brightway.
- Life
- Term and permanent life insurance for income protection, family security and estate planning. Offered separately from the Brightway franchise, with policies compared across insurers through a New York licensed life broker. Recommendations follow New York's best-interest standard (Regulation 187).
- Accident and health
- Accident, health-related and travel accident coverage. Offered by The Rothswell Agency, separately from the Brightway franchise.
- Property and casualty coverage is offered through Brightway Insurance.
- Personal lines
- Home, auto, umbrella, valuables and related household coverage. Offered through Brightway Insurance.
- Commercial lines
- Business owners, general liability, commercial property and specialty coverage. Offered through Brightway Insurance.
Coverage is subject to underwriting, carrier availability and the terms of each policy. The agency is led by the Chief Executive Officer.
Approach
Three engines of growth, deliberately sequenced.
Organic
Growth from the businesses we operate.
- Client acquisition through direct relationships and referral
- Recruitment of advisers and investment professionals
- Insurance production and renewal retention
- Serving existing clients across more than one need
Acquisition
Growth from consolidating sub-scale businesses.
- Registered investment advisers with recurring, transferable revenue
- Advisory books and practices facing succession
- Insurance agencies and books of business
- Complementary asset managers
New capability
Growth from what we build next.
- Additional investment strategies within the platform
- Additional funds and specialized mandates
- Institutional partnerships and distribution relationships
- Infrastructure built once and applied across businesses
Invest where there is an advantage
Informational, analytical, operational or structural. Otherwise abstain.
Discipline the downside first
We consider what can go wrong before what can go right.
Match capital duration to the asset
Liquid positions are intended to be held in liquid structures. Private positions are intended to be funded only by capital committed to them.
Keep structures simple
Complexity is a cost, not a credential.
Separate underwriting from promotion
The numbers we invest on are not marketing numbers.
Institutional standards from the start
Documented conflicts, allocation, valuation and supervision policies, applied from launch rather than added after scale.
No acquisition has been agreed or completed. Acquisitions would be subject to diligence, definitive documentation, client consent where required, and any applicable regulatory approvals.
Important information
Disclosures
Purpose and status
This website describes a platform under development. Statements about intended activities reflect management's current intentions only, are subject to change, and no assurance can be given that any intended activity will be undertaken or completed.
Not an offer of securities
Nothing on this website is an offer to sell or a solicitation of an offer to buy any security or interest in any fund, including American Legacy Fund. Any offering would be made only through definitive offering documents, to investors who meet applicable eligibility requirements, under an available exemption from registration. No regulator has reviewed or approved any fund or this website.
Investment advice
Rothswell is not registered as an investment adviser and does not provide investment advisory services. Nothing on this website is investment, legal, tax or accounting advice, or a recommendation of any security or strategy.
Insurance
Insurance is offered by The Rothswell Agency LLC, licensed by the New York State Department of Financial Services as an insurance agent and life broker (licenses LA-1997378 and LB-1997378). Life, accident and health insurance is offered by the agency, separately from the Brightway franchise through its licensed producer (NPN 22062424), who holds New York life broker license LB-1951560 and life, accident and health agent license LA-1951560. When acting as an agent, a producer represents the insurer; when acting as a broker, the producer represents the client. Compensation may include commissions paid by insurers, and we explain our role and how we are paid at or before the application, and details of compensation are available on request (New York Regulation 194). Property and casualty insurance is offered through the Brightway Insurance franchise system. The Rothswell Agency LLC is an independently owned franchise; Brightway Insurance, LLC is the franchisor and is not a parent, owner, affiliate, sponsor or guarantor of Rothswell or of any other Rothswell business. Coverage is subject to underwriting, carrier availability and policy terms, and is offered only where the agency is licensed.
No performance
No past performance, track record, assets under management, revenue, client numbers or returns are presented or implied. Rothswell has no operating history as an integrated platform.
Securities
Rothswell is not a registered broker-dealer. Rothswell does not offer or sell securities, does not provide investment banking services and does not solicit investors. Nothing on this website is an offer of any security. Investment in a program such as EB-5 does not assure approval of any immigration petition; investors should consult their own immigration, legal and tax advisers.
Conflicts
Potential conflicts arising from the operation of multiple affiliated financial businesses are addressed through disclosure, arm's-length terms and governance approval.
