{"url":"https://nivawealth.com/firms/r-s-crum-158621","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/158621","regulatoryAum":720678466,"crd":"158621","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7455228","suffix":null,"lastName":"Christensen","firstName":"John","middleName":"Mitchell"},{"crd":"2459889","suffix":null,"lastName":"JANKOWSKI","firstName":"DOUGLAS","middleName":"ANTHONY"},{"crd":"7208140","suffix":"Jr","lastName":"Papa","firstName":"Eric","middleName":"M"},{"crd":"3029730","suffix":null,"lastName":"RYLANCE","firstName":"MARK","middleName":"KENDALL"},{"crd":"5314524","suffix":null,"lastName":"SEXTON","firstName":"DANIEL","middleName":"ERIC"},{"crd":"4297295","suffix":null,"lastName":"THERIAULT","firstName":"JON","middleName":"ROBERT"}],"total":6,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-31","regulatoryAum":554960902,"clients":286,"employees":9,"offices":1},{"filedOn":"2022-06-10","regulatoryAum":617098631,"clients":296,"employees":9,"offices":1},{"filedOn":"2023-06-21","regulatoryAum":528001532,"clients":304,"employees":9,"offices":1},{"filedOn":"2024-03-20","regulatoryAum":586160379,"clients":315,"employees":7,"offices":1},{"filedOn":"2025-03-27","regulatoryAum":616982377,"clients":319,"employees":8,"offices":1},{"filedOn":"2026-09-09","regulatoryAum":720678466,"clients":332,"employees":9,"offices":1}],"secFileNumber":"801-72672","legalName":"R. 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Crum has custody of $262M in client assets for 256 clients.","leadership":[{"name":"Mark Rylance","title":"CEO, Trustee of the Rylance Family Trust DTD 9/29/2003","crd":"3029730"},{"name":"Daniel Sexton","title":"CCO (Since 2011), Trustee of Daniel and Kristina Sexton Family Living Trust of 2016 DTD 06/29/2016 (Since 2016)","crd":"5314524"},{"name":"Jon Theriault","title":"CFO, Trustee of the Theriault Family Living Trust DTD 10/05/2007","crd":"4297295"},{"name":"Holly Rylance","title":"Trustee of the Rylance Family Trust DTD 9/29/2003","crd":"6765078"},{"name":"Kirsten Theriault","title":"Trustee of the Theriault Family Trust DTD 10/05/2007","crd":"6765085"},{"name":"Kristina Sexton","title":"Trustee of Daniel and Kristina Sexton Family Living Trust of 2016 DTD 06/29/2016","crd":"6765090"}],"ownership":[{"label":"Mark Rylance","detail":"Ceo, trustee of the rylance family trust dtd 9/29/2003 in the 50% to 75% ownership band and a control person, since July 2011."},{"label":"Jon Theriault","detail":"Cfo, trustee of the theriault family living trust dtd 10/05/2007 in the 25% to 50% ownership band and a control person, since July 2011."},{"label":"Daniel Sexton","detail":"Cco (since 2011), trustee of daniel and kristina sexton family living trust of 2016 dtd 06/29/2016 (since 2016) in the 10% to 25% ownership band and a control person, since July 2011."},{"label":"The Rylance Family Trust DTD 9/29/2003","detail":"Shareholder in the 50% to 75% ownership band, since July 2011."},{"label":"Holly Rylance","detail":"Trustee of the rylance family trust dtd 9/29/2003 in the 50% to 75% ownership band, since July 2011."},{"label":"The Theriault Family Trust DTD 10/05/2007","detail":"Shareholder in the 25% to 50% ownership band, since July 2011."},{"label":"Kirsten Theriault","detail":"Trustee of the theriault family trust dtd 10/05/2007 in the 25% to 50% ownership band, since July 2011."},{"label":"Daniel and Kristina Sexton Family Living Trust of 2016 DTD 06/29/2016","detail":"Shareholder in the 10% to 25% ownership band, since December 2016."},{"label":"Kristina Sexton","detail":"Trustee of daniel and kristina sexton family living trust of 2016 dtd 06/29/2016 in the 10% to 25% ownership band, since December 2016."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"4 Upper Newport Plaza Drive, Suite 201","city":"Newport Beach","headquarters":true}]}],"brochureServices":["estate planning","retirement plan services","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"949-428-9696","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":13},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":83},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"9 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/158621/PDF/158621.pdf","brochureDate":"9 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057316","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does R. S. Crum have?","answer":"R. S. Crum has 332 clients and manages $721 million for them, as of September 2026. They include 186 high-net-worth individuals, 142 individual clients and 4 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 9 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does R. S. Crum offer?","answer":"R. S. Crum provides financial planning, portfolio management for individuals and small businesses, estate planning, retirement plan services, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does R. S. Crum charge?","answer":"R. S. Crum charges 0.25%–1.00% a year for its Assets Under Management Fee. The fee is billed in advance and is negotiable.","source":"RSCRUM_ADV_PART_2A_INCLUDING_2B_MARCH 2026, filed 9 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does R. S. Crum use?","answer":"R. S. Crum’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $692M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 9 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does R. S. Crum have?","answer":"R. S. Crum has 3 investment adviser representatives registered with state securities authorities, out of 9 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does R. S. Crum invest in?","answer":"At the end of its last fiscal year, R. S. Crum’s separately managed accounts held 83% registered funds (mutual funds, ETFs, BDCs), 13% exchange-traded equities, 2% cash and equivalents, 1% U.S. government and agency bonds and 1% state and local bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns R. S. Crum?","answer":"R. S. Crum’s direct owners are Mark Rylance (50% to 75%), Jon Theriault (25% to 50%), Daniel Sexton (10% to 25%), the Rylance Family Trust DTD 9/29/2003 (50% to 75%), Holly Rylance (50% to 75%), the Theriault Family Trust DTD 10/05/2007 (25% to 50%), Kirsten Theriault (25% to 50%), Daniel and Kristina Sexton Family Living Trust of 2016 DTD 06/29/2016 (10% to 25%), and Kristina Sexton (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 9 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does R. S. Crum get paid?","answer":"R. S. Crum is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is R. S. Crum registered with the SEC?","answer":"Yes, R. S. Crum has been registered with the SEC as an investment adviser since 15 July 2011. Its CRD number is 158621 and its SEC file number is 801-72672.","source":"Form ADV Part 1A, Item 1, filed 9 September 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact R. S. Crum?","answer":"R. S. Crum’s main office is at 4 Upper Newport Plaza Drive, Suite 201, Newport Beach, CA 92660. Its phone number is 949-428-9696. Its website is rscrum.com.","source":"Form ADV Part 1A, Item 1.F, filed 9 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/r-s-crum-158621/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-10","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1401459/000117266126003216/0001172661-26-003216-index.html","totalValue":533379716,"positionCount":103,"top10Share":0.7447656145964126,"top10":[{"issuer":"VANGUARD BD INDEX FDS","titleOfClass":"SHORT TRM BOND","cusip":"921937827","value":97737176,"shares":1254488,"shareType":"SH","priorValue":93483116,"priorShares":1192235},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US EQUI MARK ETF","cusip":"25434V401","value":61774730,"shares":753902,"shareType":"SH","priorValue":52937952,"priorShares":746551},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US COR EQU 2 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