Rothwell Investment Advisors, LLC

Registered adviser

CIK

2157285

Location

SALEM, MA

Portfolio Value

Small $186,795,892

Diversification

Diversified

Filing Date

Sep 30, 2026

Top Industry

Semiconductors 12.1%

Period ended 38 days ago

Filed Nov 6, 2026 · 1d

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Nov 1, 2026

Form ADV adviser

CRD 337504

Roster of Nov 1, 2026

Regulatory AUM

$187,689,302

Main clients

Individuals and high net worth (99% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Nov 2026	$187,689,302	Individuals and high net worth (99%)
Dec 2025 to Mar 2026	$188,696,420	Individuals and high net worth (99%)
Aug 2025 to Sep 2025	$0	—

Portfolio style

Not measured yet. Quarters are measured from the first covered 13F quarter, once each filing window closes.

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

1,140 tracked positions · as of Sep 30, 2026

Top Position

5.2%

of portfolio value

Top 5

21.9%

of portfolio value

Top 10

31.6%

of portfolio value

HHI

142

Diversified

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Technology	43.1%	$80,534,394	223
Industrials	10.0%	$18,672,681	197
Communication Services	8.4%	$15,758,793	49
Healthcare	8.2%	$15,343,086	126
Financial Services	7.9%	$14,788,908	126
Consumer Cyclical	7.5%	$14,102,163	127
Energy	4.3%	$7,954,846	64
Unclassified	3.0%	$5,653,651	67
Basic Materials	2.9%	$5,435,148	49
Consumer Defensive	2.9%	$5,380,188	47
Real Estate	1.0%	$1,783,238	24
Utilities	0.7%	$1,388,796	41

Portfolio Positions

Compact Export CSV View 13F filing

1,140 tracked positions · $186,795,892 total · filing declares 1,140 positions · $186,856,386 · as of Sep 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 1,140 positions by value · page 1 of 23

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
AAPL	Apple Inc. Technology	First	29,049	—	$9,673,897	—	5.18%
NVDA	Nvidia Corp Technology	First	38,745	—	$8,848,583	—	4.74%
GOOG	Alphabet Inc. Communication Services	First	24,281	—	$8,273,507	—	4.43%
MSFT	Microsoft Corp Technology	First	13,060	—	$6,698,474	—	3.59%
AMZN	Amazon Com Inc Consumer Cyclical	First	26,058	—	$6,492,350	—	3.48%
META	Meta Platforms, Inc. Communication Services	First	5,670	—	$4,111,770	—	2.20%
SGOV	iShares 0-3 Month Treasury Bond ETF	First	40,452	—	$4,072,707	—	2.18%
MU	Micron Technology Inc Technology	First	3,396	—	$3,617,113	—	1.94%
AMD	Advanced Micro Devices Inc Technology	First	5,558	—	$3,400,162	—	1.82%
PLTR	Palantir Technologies Inc. Technology	First	15,163	—	$2,836,239	—	1.52%
LRCX	Lam Research Corp Technology	First	8,542	—	$2,806,132	—	1.50%
FTNT	Fortinet, Inc. Technology	First	12,914	—	$2,308,506	—	1.24%
COST	Costco Wholesale Corp Consumer Defensive	First	2,275	—	$2,071,023	—	1.11%
LLY	ELI LILLY & Co Healthcare	First	1,539	—	$1,780,746	—	0.95%
CLS	Celestica Inc Technology	First	4,735	—	$1,711,371	—	0.92%
ASML	Asml Holding NV Technology	First	884	—	$1,601,516	—	0.86%
AMAT	Applied Materials Inc Technology	First	2,977	—	$1,522,378	—	0.81%
ANET	Arista Networks, Inc. Technology	First	7,358	—	$1,498,015	—	0.80%
JNJ	Johnson & Johnson Healthcare	First	5,496	—	$1,455,011	—	0.78%
TTMI	Ttm Technologies Inc Technology	First	10,661	—	$1,309,597	—	0.70%
CRWD	CrowdStrike Holdings, Inc. Technology	First	4,912	—	$1,300,452	—	0.70%
FIX	Comfort Systems USA Inc Industrials	First	766	—	$1,267,032	—	0.68%
TER	Teradyne, Inc Technology	First	3,030	—	$1,214,757	—	0.65%
IBKR	Interactive Brokers Group, Inc. Financial Services	First	14,076	—	$1,202,371	—	0.64%
NDAQ	Nasdaq, Inc. Financial Services	First	12,881	—	$1,185,180	—	0.63%
STRL	Sterling Infrastructure, Inc. Industrials	First	2,383	—	$1,171,911	—	0.63%
PANW	Palo Alto Networks Inc Technology	First	2,869	—	$1,139,882	—	0.61%
TSM	Taiwan Semiconductor Manufacturing Co Ltd Technology	First	2,395	—	$1,092,575	—	0.58%
AVGO	Broadcom Inc. Technology	First	3,035	—	$1,065,861	—	0.57%
MCK	Mckesson Corp Healthcare	First	1,214	—	$1,036,525	—	0.55%
ABBV	AbbVie Inc. Healthcare	First	3,939	—	$1,030,403	—	0.55%
CIEN	Ciena Corp Technology	First	2,855	—	$1,004,446	—	0.54%
KGC	Kinross Gold Corp Basic Materials	First	41,105	—	$989,808	—	0.53%
MPC	Marathon Petroleum Corp Energy	First	2,424	—	$958,498	—	0.51%
GOOGL	Alphabet Inc. Communication Services	First	2,710	—	$932,456	—	0.50%
MLI	Mueller Industries Inc Industrials	First	15,006	—	$909,513	—	0.49%
WMT	Walmart Inc. Consumer Defensive	First	8,372	—	$870,018	—	0.47%
NFLX	Netflix Inc Communication Services	First	12,240	—	$851,659	—	0.46%
SANM	Sanmina Corp Technology	First	3,931	—	$844,811	—	0.45%
MYRG	Myr Group Inc. Industrials	First	2,880	—	$842,284	—	0.45%
MRVL	Marvell Technology, Inc. Technology	First	3,148	—	$831,733	—	0.45%
DELL	Dell Technologies Inc. Technology	First	1,535	—	$825,753	—	0.44%
CASY	Caseys General Stores Inc Consumer Cyclical	First	1,331	—	$809,860	—	0.43%
CAH	Cardinal Health Inc Healthcare	First	3,547	—	$789,207	—	0.42%
CSCO	Cisco Systems, Inc. Technology	First	7,199	—	$774,828	—	0.41%
TRV	Travelers Companies, Inc. Financial Services	First	2,110	—	$752,236	—	0.40%
ISRG	Intuitive Surgical Inc Healthcare	First	1,829	—	$743,726	—	0.40%
TSLA	Tesla, Inc. Consumer Cyclical	First	2,088	—	$740,843	—	0.40%
VICR	Vicor Corp Technology	First	2,545	—	$735,352	—	0.39%
CAT	Caterpillar Inc Industrials	First	900	—	$729,711	—	0.39%

Showing the top 50 of 1,140 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.