RATIONAL ADVISORS, INC.
Adviser information for RATIONAL ADVISORS, INC. last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 11 | $2.2B |
| Non-Discretionary | 0 | $0 |
| Total | 11 | $2.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 11 | $2.2B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
53 PALMERAS ST.SUITE 601
SAN JUAN
PR
United States
Monday - Friday, 9:00 A.M. TO 5:00 PM
Tel: 787-334-1781, Fax: None
Chief Compliance Officer
ROBERT D. GLASS
36 N. NEW YORK AVE., 3RD FLOOR
HUNTINGTON
NY
United States
Tel:
631-629-4907
R******@*************M
(Full email address available in API data)
Regulatory Contact
JERRY SZILAGYI
PRESIDENT
53 PALMERAS ST
SUITE 601
SAN JUAN
PR
United States
Tel:
631-629-4909
J*****@*************M
(Full email address available in API data)
Industry Affiliates
| ALPHACENTRIC ADVISORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| ALT FUND DISTRIBUTORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CATALYST CAPITAL ADVISORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CATALYST INTERNATIONAL ADVISORS LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GLASS, ROBERT, DAVID | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2016 | < 5% |
| SZILAGYI, JERRY, JOHN | Individual | – | PRESIDENT | 01/2016 | 50-75% |
| MILLER, DAVID, SCOTT | Individual | – | CHIEF INVESTMENT OFFICER | 01/2016 | 10-25% |
| JERRY J. SZILAGYI 2015 FAMILY TRUST | Domestic Entity | – | SHAREHOLDER | 01/2017 | 10-25% |
| SZILAGYI, ISOBEL, LINDA | Individual | JERRY J. SZILAGYI 2015 FAMILY TRUST | TRUSTEE | 12/2015 | |
| Szilagyi, June, Ann | Individual | JERRY J. SZILAGYI 2015 FAMILY TRUST | TRUSTEE | 12/2015 | |
| Schoonover, Michael, Thomas | Individual | – | CHIEF OPERATING OFFICER | 01/2016 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 25th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 246K | 2K | – |
| ABBVIE INC | COM | 253K | 1K | – |
| ADVANCED MICRO DEVICES INC | COM | 241K | 1K | – |
| AIR PRODS & CHEMS INC | COM | 44K | 171 | – |
| ALEXANDRIA REAL ESTATE EQ IN | COM | 41K | 348 | – |
| ALLIANT ENERGY CORP | NOTE 3.875% 3/1 | 4M | 4M | – |
| ALPHABET INC | CAP STK CL A | 3M | 19K | – |
| ALPHABET INC | CAP STK CL C | 750K | 4K | – |
| ALPHABET INC | CAP STK CL A | 837K | 5K | – |
| ALPHABET INC | CAP STK CL A | 3M | 14K | – |
| ALPS ETF TR | ALERIAN MLP | 61M | 1M | – |
| AMAZON COM INC | COM | 8M | 42K | – |
| AMAZON COM INC | COM | 1M | 7K | – |
| AMERICAN ELEC PWR CO INC | COM | 45K | 510 | – |
| AMERICAN TOWER CORP NEW | COM | 31K | 162 | – |
| AMERICAN WTR WKS CO INC NEW | COM | 37K | 288 | – |
| APOLLO GLOBAL MGMT INC | COM | 3M | 30K | – |
| APOLLO GLOBAL MGMT INC | SER A MAND CNV | 7M | 100K | – |
| APPLE INC | COM | 3M | 17K | – |
| APPLE INC | COM | 1M | 7K | – |
| ASML HOLDING N V | N Y REGISTRY SHS | 372K | 364 | – |
| AT&T INC | COM | 174K | 9K | – |
| ATLANTICA SUSTAINABLE INFR P | SHS | 40K | 2K | – |
| BANK AMERICA CORP | 7.25%CNV PFD L | 6M | 5K | – |
| BERKSHIRE HATHAWAY INC DEL | CL A | 1M | 2 | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 1M | 3K | – |
| BLACKSTONE INC | COM | 3M | 21K | – |
| BOOKING HOLDINGS INC | COM | 6M | 1K | – |
| BOSTON SCIENTIFIC CORP | COM | 3M | 38K | – |
| BROADCOM INC | COM | 544K | 339 | – |
| BROADCOM INC | COM | 1M | 800 | – |
| BROOKFIELD INFRAST PARTNERS | LP INT UNIT | 34K | 1K | – |
| CANADIAN NATL RY CO | COM | 42K | 355 | – |
| CANADIAN PACIFIC KANSAS CITY | COM | 44K | 564 | – |
| CATERPILLAR INC | COM | 49K | 148 | – |
| CHEGG INC | NOTE 9/0 | 844K | 1M | – |
| CHENIERE ENERGY INC | COM NEW | 59K | 338 | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 3M | 55K | – |
| CISCO SYS INC | COM | 250K | 5K | – |
| COCA COLA CO | COM | 203K | 3K | – |
| COHERENT CORP | COM | 1M | 19K | – |
| COMCAST CORP NEW | CL A | 209K | 5K | – |
| CONOCOPHILLIPS | COM | 50K | 437 | – |
| COSTCO WHSL CORP NEW | COM | 3M | 4K | – |
| COSTCO WHSL CORP NEW | COM | 289K | 340 | – |
| CROWDSTRIKE HLDGS INC | CL A | 574K | 1K | – |
| CROWN CASTLE INC | COM | 22K | 227 | – |
| CSX CORP | COM | 39K | 1K | – |
| CYBERARK SOFTWARE LTD | SHS | 2M | 9K | – |
| DANAHER CORPORATION | COM | 219K | 878 | – |
| DBX ETF TR | XTRACK USD HIGH | 39M | 1M | – |
| DEERE & CO | COM | 38K | 102 | – |
| DEXCOM INC | NOTE 0.250%11/1 | 6M | 6M | – |
| DIGITAL RLTY TR INC | COM | 50K | 326 | – |
| DIMENSIONAL ETF TRUST | CORE FIXED INCOM | 25M | 591K | – |
| DISNEY WALT CO | COM | 243K | 2K | – |
| DOW INC | COM | 50K | 947 | – |
| DRAFTKINGS INC NEW | COM CL A | 3M | 91K | – |
| DRAFTKINGS INC NEW | NOTE 3/1 | 4M | 5M | – |
| DUKE ENERGY CORP NEW | COM NEW | 45K | 447 | – |
| DUPONT DE NEMOURS INC | COM | 55K | 684 | – |
| ECOLAB INC | COM | 54K | 228 | – |
| ELEVANCE HEALTH INC | COM | 179K | 331 | – |
| ELI LILLY & CO | COM | 3M | 4K | – |
| ELI LILLY & CO | COM | 234K | 259 | – |
| EMERSON ELEC CO | COM | 46K | 416 | – |
| ENBRIDGE INC | COM | 38K | 1K | – |
| ENERGY TRANSFER L P | COM UT LTD PTN | 50K | 3K | – |
| ENTERPRISE PRODS PARTNERS L | COM | 43K | 1K | – |
| EOG RES INC | COM | 42K | 331 | – |
| EQUINIX INC | COM | 46K | 61 | – |
| ETSY INC | NOTE 0.250% 6/1 | 4M | 5M | – |
| EURONET WORLDWIDE INC | NOTE 0.750% 3/1 | 2M | 2M | – |
| EXPEDIA GROUP INC | NOTE 2/1 | 1M | 2M | – |
| EXXON MOBIL CORP | COM | 677K | 6K | – |
| EXXON MOBIL CORP | COM | 45K | 393 | – |
| EXXON MOBIL CORP | COM | 2M | 18K | – |
| FIDELITY COVINGTON TRUST | MSCI INFO TECH I | 747K | 4K | – |
| FORD MTR CO DEL | NOTE 3/1 | 6M | 6M | – |
| FORTIS INC | COM | 39K | 1K | – |
| FREEPORT-MCMORAN INC | CL B | 57K | 1K | – |
| FRESHPET INC | COM | 2M | 14K | – |
| GE VERNOVA INC | COM | 22K | 131 | – |
| GENERAL DYNAMICS CORP | COM | 52K | 179 | – |
| GLOBAL X FDS | US PFD ETF | 29M | 1M | – |
| GOLDMAN SACHS GROUP INC | COM | 196K | 434 | – |
| HILTON WORLDWIDE HLDGS INC | COM | 2M | 9K | – |
| HOME DEPOT INC | COM | 282K | 820 | – |
| HONEYWELL INTL INC | COM | 184K | 860 | – |
| HONEYWELL INTL INC | COM | 45K | 213 | – |
| INTERNATIONAL BUSINESS MACHS | COM | 208K | 1K | – |
| INTUIT | COM | 244K | 371 | – |
| INVESCO EXCH TRADED FD TR II | NASDAQ 100 ETF | 61M | 307K | – |
| INVESCO EXCH TRADED FD TR II | TAXABLE MUN BD | 5M | 186K | – |
| ISHARES TR | S&P 100 ETF | 966K | 4K | – |
| ISHARES TR | S&P 500 VAL ETF | 557K | 3K | – |
| ISHARES TR | CORE S&P500 ETF | 19M | 36K | – |
| ISHARES TR | CORE US AGGBD ET | 90M | 925K | – |
| ISHARES TR | MBS ETF | 10M | 106K | – |
| ISHARES TR | CORE S&P500 ETF | 39M | 72K | – |
| ISHARES TR | 1 3 YR TREAS BD | 67K | 825 | – |
| ISHARES TR | CORE MSCI EAFE | 2M | 22K | – |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 44M | 775K | – |
| JOHNSON & JOHNSON | COM | 486K | 3K | – |
| JPMORGAN CHASE & CO. | COM | 871K | 4K | – |
| KBR INC | COM | 1M | 16K | – |
| KINDER MORGAN INC DEL | COM | 52K | 3K | – |
| KKR & CO INC | COM | 3M | 32K | – |
| LINDE PLC | SHS | 52K | 119 | – |
| LIVE NATION ENTERTAINMENT IN | COM | 4M | 38K | – |
| LOCKHEED MARTIN CORP | COM | 41K | 88 | – |
| LOWES COS INC | COM | 171K | 777 | – |
| MANCHESTER UTD PLC NEW | ORD CL A | 686K | 43K | – |
| MASTERCARD INCORPORATED | CL A | 158K | 358 | – |
| MERCADOLIBRE INC | COM | 2M | 1K | – |
| MERCK & CO INC | COM | 259K | 2K | – |
| META PLATFORMS INC | CL A | 3M | 5K | – |
| META PLATFORMS INC | CL A | 1M | 3K | – |
| MICRON TECHNOLOGY INC | COM | 178K | 1K | – |
| MICROSOFT CORP | COM | 3M | 8K | – |
| MICROSOFT CORP | COM | 1M | 3K | – |
| MORGAN STANLEY | COM NEW | 163K | 2K | – |
| MPLX LP | COM UNIT REP LTD | 49K | 1K | – |
| NETFLIX INC | COM | 4M | 5K | – |
| NEXTERA ENERGY INC | COM | 191K | 3K | – |
| NEXTERA ENERGY INC | COM | 42K | 592 | – |
| NEXTERA ENERGY INC | UNIT 09/01/2025 | 6M | 151K | – |
| NORFOLK SOUTHN CORP | COM | 31K | 146 | – |
| NORTHROP GRUMMAN CORP | COM | 55K | 126 | – |
| NUCOR CORP | COM | 43K | 274 | – |
| NVIDIA CORPORATION | COM | 2M | 13K | – |
| OCCIDENTAL PETE CORP | COM | 50K | 789 | – |
| OKTA INC | NOTE 0.375% 6/1 | 4M | 4M | – |
| ONEOK INC NEW | COM | 61K | 743 | – |
| OREILLY AUTOMOTIVE INC | COM | 3M | 3K | – |
| PALANTIR TECHNOLOGIES INC | CL A | 203K | 8K | – |
| PALO ALTO NETWORKS INC | COM | 497K | 1K | – |
| PEMBINA PIPELINE CORP | COM | 47K | 1K | – |
| PENTAIR PLC | SHS | 46K | 602 | – |
| PEPSICO INC | COM | 200K | 1K | – |
| PETIQ INC | COM CL A | 719K | 33K | – |
| PETIQ INC | NOTE 4.000% 6/0 | 676K | 635K | – |
| PFIZER INC | COM | 216K | 8K | – |
| PHILLIPS 66 | COM | 48K | 339 | – |
| PLAINS GP HLDGS L P | LTD PARTNR INT A | 47K | 3K | – |
| PPL CAP FDG INC | NOTE 2.875% 3/1 | 6M | 6M | – |
| PROCTER AND GAMBLE CO | COM | 319K | 2K | – |
| PROLOGIS INC. | COM | 34K | 303 | – |
| PROS HOLDINGS INC | NOTE 2.250% 9/1 | 2M | 2M | – |
| PUBLIC STORAGE OPER CO | COM | 37K | 128 | – |
| QUALCOMM INC | COM | 609K | 3K | – |
| RELIANCE INC | COM | 43K | 151 | – |
| REPUBLIC SVCS INC | COM | 53K | 274 | – |
| RTX CORPORATION | COM | 188K | 2K | – |
| RTX CORPORATION | COM | 50K | 501 | – |
| SCHLUMBERGER LTD | COM STK | 28K | 586 | – |
| SCHWAB STRATEGIC TR | 5 10YR CORP BD | 15M | 334K | – |
| SCHWAB STRATEGIC TR | US REIT ETF | 35M | 2M | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 747K | 3K | – |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 18M | 269K | – |
| SEMPRA | COM | 43K | 561 | – |
| SHERWIN WILLIAMS CO | COM | 47K | 157 | – |
| SHIFT4 PMTS INC | NOTE 0.500% 8/0 | 5M | 5M | – |
| SHOPIFY INC | NOTE 0.125%11/0 | 5M | 5M | – |
| SOUTHERN CO | COM | 46K | 592 | – |
| SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 2M | 2M | – |
| SPDR SER TR | PRTFLO S&P500 VL | 558K | 11K | – |
| SPDR SER TR | PORTFOLIO AGRGTE | 90M | 4M | – |
| SPDR SER TR | PORTFOLIO S&P500 | 20M | 307K | – |
| SPOTIFY TECHNOLOGY S A | SHS | 2M | 5K | – |
| STAG INDL INC | COM | 41K | 1K | – |
| STEEL DYNAMICS INC | COM | 46K | 358 | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 246K | 1K | – |
| TARGA RES CORP | COM | 62K | 478 | – |
| TC ENERGY CORP | COM | 32K | 849 | – |
| TESLA INC | COM | 265K | 1K | – |
| TEXAS INSTRS INC | COM | 147K | 758 | – |
| THERMO FISHER SCIENTIFIC INC | COM | 181K | 328 | – |
| TRANSDIGM GROUP INC | COM | 2M | 1K | – |
| TYLER TEX INDPT SCH DIST | NOTE 0.250% 3/1 | 6M | 6M | – |
| UBER TECHNOLOGIES INC | COM | 4M | 49K | – |
| UNION PAC CORP | COM | 43K | 192 | – |
| UNITED PARCEL SERVICE INC | CL B | 30K | 222 | – |
| UNITEDHEALTH GROUP INC | COM | 401K | 787 | – |
| VANECK ETF TRUST | GOLD MINERS ETF | 161K | 5K | – |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 896K | 3K | – |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 90M | 1M | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 19M | 39K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 49M | 270K | – |
| VANGUARD WORLD FD | INF TECH ETF | 746K | 1K | – |
| VENTAS RLTY LTD PARTNERSHIP | NOTE 3.750% 6/0 | 1M | 1M | – |
| VERIZON COMMUNICATIONS INC | COM | 227K | 6K | – |
| VISA INC | COM CL A | 190K | 723 | – |
| WALMART INC | COM | 375K | 6K | – |
| WASTE CONNECTIONS INC | COM | 51K | 291 | – |
| WASTE MGMT INC DEL | COM | 54K | 254 | – |
| WELLS FARGO CO NEW | COM | 285K | 5K | – |
| WELLS FARGO CO NEW | PERP PFD CNV A | 6M | 5K | – |
| WELLTOWER INC | COM | 52K | 498 | – |
| WEYERHAEUSER CO MTN BE | COM NEW | 35K | 1K | – |
| WILLIAMS COS INC | COM | 67K | 2K | – |
| WISDOMTREE TR | US EFFICIENT COR | 56M | 1M | – |
| WIX COM LTD | SHS | 1M | 9K | – |
| WIX COM LTD | NOTE 8/1 | 2M | 2M | – |