# Rational Advisors, Inc.

> Rational Advisors, Inc. is an SEC-registered investment advisory firm in San Juan, PR, registered since 2001, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated May 8, 2026.

- CRD: 111452
- Filed as: RATIONAL ADVISORS, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: San Juan, PR
- Filing period: October 2026
- Form ADV filing dated: May 8, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/111452
- AdvisorCensus page: https://advisorcensus.com/firm/rational-advisors-inc-san-juan-pr-111452

## Quick answers

**How is Rational Advisors, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Rational Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Rational Advisors, Inc. located?**
Rational Advisors, Inc.'s principal office is in San Juan, PR, according to its Form ADV; the June 2026 filing also lists 2 other offices (Schedule D, Section 1.F).

**Is Rational Advisors, Inc. registered with the SEC or a state?**
Rational Advisors, Inc. is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 111452.

**How much does Rational Advisors, Inc. manage?**
Rational Advisors, Inc. reports $2,562,080,825 in regulatory assets under management in its Form ADV filing dated May 8, 2026 (100% discretionary).

**How have Rational Advisors, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Rational Advisors, Inc.: Regulatory assets under management: $1,158,294,866 in the October 2021 data and $2,562,080,825 in the October 2026 data, up 121%. Total employees: 10 in October 2021 and 17 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Rational Advisors, Inc. serve?**
By number of clients on Form ADV Item 5.D: investment companies (12); pooled investment vehicles (other than investment companies and business development companies) (1).

**Does Rational Advisors, Inc. report any disciplinary disclosures?**
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/111452

**What changed in Rational Advisors, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $2,283,242,065 to $2,562,080,825 (+12%). Added an office in Huntington, NY.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $2,562,080,825
- Discretionary: $2,562,080,825
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 12 | $2,552,334,808 |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $9,746,017 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Educational seminars/workshops

### Firm details
- Registered since: 2001 (25 years)
- Employees: 17 total, 8 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY, PR
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/111452

### Other offices (Schedule D, Section 1.F), as of the June 2026 filing
- Huntington, NY
- New York, NY

### Websites listed on Form ADV (Item 1.I)
- catalyst-insights.com
- golyetf.com
- rationalmf.com
- strategysharesetfs.com
- LinkedIn @rational-advisors-inc.
- LinkedIn @strategy-shares-etf
- X @RATIONALMF

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,158,294,866 | 10 | April 27, 2021 |
| October 2022 | $3,003,778,020 | 13 | July 27, 2022 |
| October 2023 | $2,576,883,155 | 13 | August 24, 2023 |
| October 2024 | $2,218,085,727 | 12 | March 27, 2024 |
| October 2025 | $2,283,242,065 | 12 | June 17, 2025 |
| October 2026 | $2,562,080,825 | 17 | May 8, 2026 |

Regulatory assets under management: $1,158,294,866 in the October 2021 data and $2,562,080,825 in the October 2026 data, up 121%.
Total employees: 10 in October 2021 and 17 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $2,283,242,065 to $2,562,080,825 (+12%).
- Added an office in Huntington, NY.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rational Advisors, Inc. (CRD 111452): Form ADV filing data as of October 2026.