DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Rational Advisors, Inc.
Latest filing May 8, 2026
First filing on the tape Mar 30, 2012 · 37 filings
SEC status approved since Apr 18, 2001
RAUM
$2.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$2.6B as of May 8, 2026
Mar 30, 2012$3.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 8, 2026
Mar 30, 20120 then
Employees (5.A)17 as of May 8, 2026
Mar 27, 201321 then
Private funds1 as of May 8, 2026
Mar 24, 20251 then
RAUM +12% over the last fiscal year-0.2% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of May 8, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $197MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$2.6B100%
- Pooled investment vehicles$9.7M0.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- John Cristello to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 15, 2017 · Other
Joined, latest
- John Cristello from MarinerApr 4, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- David Robert Glass · Chief Compliance Officercontrolsince 01/2016 · owns less than 5%
- Scott David Miller · Chief Investment Officercontrolsince 01/2016 · owns 10% to 25%
- Thomas Michael Schoonover · Chief Operating Officercontrolsince 01/2016 · owns less than 5%
- John Jerry Szilagyi · Presidentcontrolsince 01/2016 · owns 50% to 75%
- Linda Isobel Szilagyi · Trusteesince 12/2015 · owns F of Jerry J. Szilagyi 2015 Family Trust
- Ann June Szilagyi · Trusteesince 12/2015 · owns F of Jerry J. Szilagyi 2015 Family Trust
Entity owners
- Jerry J. Szilagyi 2015 Family Trust · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Alphacentric Advisors LLCinvestment adviserbanknRAUM $433M
- Alt Fund Distributors LLCbroker-dealern
- Catalyst Capital Advisors LLCinvestment adviserbankyRAUM $10B
- Catalyst International Advisors LLCinvestment advisernRAUM $58.0M
Advisers that list Rational Advisors, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 12 to 13Aug 13, 2025 to Mar 27, 2026
- Employees · 12 to 17Aug 13, 2025 to Mar 27, 2026
- Other offices · 1 to 2Aug 13, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.3B to $2.6BAug 13, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $8.4M to $9.7MAug 13, 2025 to Mar 27, 2026
- RAUM · $2.3B to $2.6BAug 13, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Jun 17, 2025 to Aug 13, 2025
- Advisory activities · 1 to 3Mar 24, 2025 to Jun 17, 2025
- Accounts · 11 to 12Mar 27, 2024 to Mar 24, 2025
- Advisory employees · 9 to 8Mar 27, 2024 to Mar 24, 2025
- BD registered reps · 3 to 1Mar 27, 2024 to Mar 24, 2025
- Pooled vehicle clients · unset to 1.0Mar 27, 2024 to Mar 24, 2025
- Private funds · unset to 1Mar 27, 2024 to Mar 24, 2025
- Discretionary RAUM · $2.2B to $2.3BMar 27, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · unset to 8400449.0Mar 27, 2024 to Mar 24, 2025
- RAUM · $2.2B to $2.3BMar 27, 2024 to Mar 24, 2025
- Accounts · 13 to 11Aug 24, 2023 to Mar 27, 2024
- Advisory employees · 10 to 9Aug 24, 2023 to Mar 27, 2024
- Employees · 13 to 12Aug 24, 2023 to Mar 27, 2024
- Discretionary RAUM · $2.6B to $2.2BAug 24, 2023 to Mar 27, 2024
- RAUM · $2.6B to $2.2BAug 24, 2023 to Mar 27, 2024
- Accounts · 12 to 13Jul 27, 2022 to Mar 29, 2023
- BD registered reps · 2 to 3Jul 27, 2022 to Mar 29, 2023
- Discretionary RAUM · $3.0B to $2.6BJul 27, 2022 to Mar 29, 2023
- RAUM · $3.0B to $2.6BJul 27, 2022 to Mar 29, 2023
- Accounts · 11 to 12Apr 27, 2021 to Mar 30, 2022
- Advisory employees · 7 to 10Apr 27, 2021 to Mar 30, 2022
- BD registered reps · 3 to 2Apr 27, 2021 to Mar 30, 2022
- Employees · 10 to 13Apr 27, 2021 to Mar 30, 2022
- Financial planning clients · unset to 0Apr 27, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.2B to $3.0BApr 27, 2021 to Mar 30, 2022
- RAUM · $1.2B to $3.0BApr 27, 2021 to Mar 30, 2022
- Accounts · 15 to 11Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 6 to 7Mar 30, 2020 to Mar 31, 2021
- Employees · 9 to 10Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $575M to $1.2BMar 30, 2020 to Mar 31, 2021
- RAUM · $575M to $1.2BMar 30, 2020 to Mar 31, 2021
- Accounts · 14 to 15May 31, 2019 to Mar 30, 2020
- Advisory employees · 4 to 6May 31, 2019 to Mar 30, 2020
- Employees · 7 to 9May 31, 2019 to Mar 30, 2020
Signals
4 dated events
- Thomas Michael Schoonover (Chief Operating Officer) appeared on Schedule A of Rational Advisors, Inc.Jul 27, 2022 · Control person joined · fact
- Rational Advisors, Inc. reported RAUM $3.0B, up 159% from $1.2B (2021-04-27 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Rational Advisors, Inc. reported RAUM $1.2B, up 101% from $575.5M (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Rational Advisors, Inc. reported RAUM $465.4M, up 89% from $246.4M (2018-03-23 to 2019-02-26)Feb 26, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/rational-advisors-inc.reportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/strategy-shares-etfreportedpublic record, Form ADV, Sep 17, 2026
- Website
- golyetf.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 6467578387reportedpublic record, Form ADV, May 8, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026