Planning, portfolio management and fiduciary advice.
Rothswell intends to offer wealth management to private clients, families and institutions through a registered investment adviser (RIA), to be established or acquired. Wealth management is what clients receive; the RIA is the regulated firm that provides it, as a fiduciary. This page describes both. Rothswell does not currently provide investment advisory services.
Planned; not registeredThe coordinated, time-tested approach that wealthy families use to manage their financial lives, brought to more families in New York.
Your team
Planners, investment professionals and insurance specialists working together on one plan, alongside your attorney and accountant.
Your advisor
A single person who knows your family, coordinates the team and is accountable to you.
Your portfolio
Built around your goals and risk tolerance, held with a qualified custodian and reviewed on a regular schedule.
Your firm
A registered investment adviser acting in your best interest, backed by the wider Rothswell platform.
One platform for wealth, insurance and investments, under one roof in New York.
Planning for where you are in life
Every stage of life
Stage 1 of 5
Building savings, managing debt and putting the first protection in place.
Stage 2 of 5
Balancing a home, children and long-term goals at the same time.
Stage 3 of 5
Separating business and personal finances and protecting what you are building.
Stage 4 of 5
Deciding who takes over, when and on what terms.
Stage 5 of 5
Turning a lifetime of saving into income and a lasting legacy.
A plan starts with the people it is for. We intend to sit down with families to map out what matters: a home, education, caring for parents, retiring on their own terms. Then we turn it into a written plan, an investment policy and the protection that keeps it on track.
For many owners, the business is most of what they have built. A good succession plan protects its value, the people who work there and the family that depends on it, whether it passes to children, to managers or to a buyer.
Retirement is a change of plan, not the end of one. We intend to help clients turn savings into dependable income and to shape what they leave behind, for children, grandchildren and the causes they care about.
Working together
Understand the family, the balance sheet and what the money is for.
Agree goals, constraints and an investment policy in writing.
Build and manage portfolios with a qualified custodian.
Report regularly and revisit the plan as circumstances change.
Partner with us
We are interested in hearing from advisory practices whose principals are thinking about the future of their firm.
Questions
A registered investment adviser, or RIA, is a firm registered with the SEC or a state securities regulator to give investment advice for a fee. It files a public disclosure document, Form ADV, describing its services, fees and conflicts of interest.
An investment adviser owes its clients a fiduciary duty: a duty of care and a duty of loyalty. In practice that means advice in the client's best interest, with material conflicts of interest disclosed and managed.
Wealth management is the service a client receives: planning, investing and coordination of tax, estate and insurance matters. The RIA is the regulated firm that provides the investment advice and is accountable for it.
Many advisers charge a fee based on the assets they manage, a fixed fee or an hourly fee. Fees are agreed in a written advisory agreement and disclosed in the adviser's Form ADV.
No. Rothswell is not registered as an investment adviser and does not provide investment advisory services. This page describes services we intend to offer once an adviser is registered or acquired.
Photographs, all CC0 via Wikimedia Commons: David (Central Park), Andre Hunter, rawpixel.com, Alice Donovan Rouse, Faustin Tuyambaze, Drew Hays, Rhett Noonan, Annie Theby, Jens Lelie, JESHOOTS.COM, David Straight. People shown are not clients and do not endorse Rothswell.
Rothswell is not registered as an investment adviser and does not provide investment advisory services. Any advisory services would be provided only after registration, by the registered entity, under a written advisory agreement and its Form ADV disclosures. No acquisition has been agreed; any registration or acquisition would be subject to regulatory requirements and approvals.
Tell us a little about you, and we will get back to you.
info@rothswell.us646 821 3520211 Madison Ave, New York, NY 10016
