Pepperdine University – MBA (Finance)
CERTIFIED FINANCIAL PLANNER™ (CFP®)
RS Crum Inc., Lead Advisor – 2008 to 2011
Prior to coming to RS Crum Inc. Mr. Theriault worked for 13 years providing consulting, valuation, and merger and acquisition advisory services to privately held business owners.
Registered investment advisers and their supervised persons are required to disclose material facts regarding any legal or disciplinary events that would be material to your evaluation of RS Crum Inc., Mr. Theriault or the integrity of RS Crum Inc.’s management.
Not applicable; Mr. Theriault has no legal or disciplinary action applicable to his status and / or registration.
RS Crum Inc.’s principal business is providing investment and financial advice and their only source of compensation are fees paid to the Firm directly by the client.
Neither RS Crum Inc. nor Mr. Theriault accepts commissions. Therefore, they are NOT registered as a securities broker-dealer, futures commission merchant or commodity pool operator, or commodity trading adviser.
Although, Mr. Theriault is a member of several industry trade associations, he does not have any affiliations that are material to RS Crum Inc.’s business or present any conflict of interest with its clients
Mr. Theriault receives no other compensation besides his salary, bonus, and other customary employment benefits.
RS Crum Inc. expects its supervised persons to conduct themselves with integrity and professionalism, in accordance with the Firm’s fiduciary duty to clients and standards of business conduct. Mark K. Rylance is responsible for the general supervision of Supervised Persons of the Firm and can be reached by calling 949-428-9696.
Supervised Persons with supervisory responsibility, authority, or the ability to influence the conduct of others will exercise reasonable supervision over those subject to their supervision or authority to prevent violation of applicable statutes, regulations, or provisions of the Code. In so doing, Supervised Persons may rely on procedures established by RS Crum Inc. that are designed to prevent and detect such violations. Supervised Persons are responsible for the reasonable supervision of the persons who report to them.
RS Crum Inc. conducts periodic and special meetings, when warranted, to update, review, plan, and allocate resources for client care, services, and business priorities. In addition, the Firm requires Supervised Persons and employees to complete regular financial disclosures and review, at least annually, the Firm’s Code of Ethics and Policy and Procedures as part of its compliance responsibility.