{
  "crd_number": 163057,
  "slug": "rational-investment-management-llc-163057",
  "primary_business_name": "RATIONAL INVESTMENT MANAGEMENT, LLC",
  "legal_name": "RATIONAL INVESTMENT MANAGEMENT, LLC",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2018-02-21",
  "years_registered": 8,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 402587949.0,
  "raum_discretionary": 402587949.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 2,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0,
      "description": "NA",
      "fewer_than_5": true
    },
    "charitable": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 4852217.0,
      "count": 8
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 397735732.0,
      "count": 85
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA"
  ],
  "websites": [
    "https://rationalim.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/163057",
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/rational-investment-management-llc-163057",
  "display_name": "Rational Investment Management, LLC",
  "summary": "Rational Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2018, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. Rational Investment Management, LLC (CRD 163057): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Rational Investment Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Rational Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "What does Rational Investment Management, LLC's brochure say about its fees?",
      "a": "Its Form ADV Part 2A brochure dated March 31, 2026 states: Up to $1,000,000: 1% a year; $1,000,000 to $2,000,000: 0.75% a year; $2,000,001 to $10,000,000: 0.5% a year; Above $10,000,000: 0.25% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Is Rational Investment Management, LLC registered with the SEC or a state?",
      "a": "Rational Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 163057."
    },
    {
      "q": "How much does Rational Investment Management, LLC manage?",
      "a": "Rational Investment Management, LLC reports $402,587,949 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)."
    },
    {
      "q": "How have Rational Investment Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Rational Investment Management, LLC: Regulatory assets under management: $247,438,010 in the October 2021 data and $402,587,949 in the October 2026 data, up 63%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Rational Investment Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (85); individuals (other than high net worth individuals) (8)."
    },
    {
      "q": "Which custodians does Rational Investment Management, LLC use?",
      "a": "Rational Investment Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Rational Investment Management, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/163057"
    },
    {
      "q": "Does Rational Investment Management, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 31, 2026 says: \"$1,000,000 is the minimum account size, but in special situations, exceptions may be made.\""
    },
    {
      "q": "What changed in Rational Investment Management, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $351,343,543 to $402,587,949 (+15%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 247438010.0,
      "total_employees": 2,
      "filing_date": "2021-04-01"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 304097179.0,
      "total_employees": 2,
      "filing_date": "2022-04-04"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 292522828.0,
      "total_employees": 2,
      "filing_date": "2023-03-06"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 325686069.0,
      "total_employees": 2,
      "filing_date": "2024-04-02"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 351343543.0,
      "total_employees": 2,
      "filing_date": "2025-03-27"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 402587949.0,
      "total_employees": 2,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $351,343,543 to $402,587,949 (+15%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 31, 2026",
    "tiers": [
      {
        "band": "Up to $1,000,000",
        "rate": "1%"
      },
      {
        "band": "$1,000,000 to $2,000,000",
        "rate": "0.75%"
      },
      {
        "band": "$2,000,001 to $10,000,000",
        "rate": "0.5%"
      },
      {
        "band": "Above $10,000,000",
        "rate": "0.25%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$1,000,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "Up to $1,000,000: 1% a year",
          "$1,000,000 to $2,000,000: 0.75% a year",
          "$2,000,001 to $10,000,000: 0.5% a year",
          "Above $10,000,000: 0.25% a year"
        ],
        "quotes": [
          "1.00% annually on the first $1,000,000   0.75% annually on the next $1,000,000   0.50% annually from $2,000,001 to $10,000,000   0.25% thereafter"
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "$1,000,000 is the minimum account size, but in special situations, exceptions may be made."
        ]
      }
    ],
    "quotes": [
      "1.00% annually on the first $1,000,000   0.75% annually on the next $1,000,000   0.50% annually from $2,000,001 to $10,000,000   0.25% thereafter",
      "$1,000,000 is the minimum account size, but in special situations, exceptions may be made."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/rational-investment-management-llc-163057.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 8,
      "fewer_than_5": false,
      "raum": 4852217.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 85,
      "fewer_than_5": false,
      "raum": 397735732.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/163057",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}