9AT: RATIONAL INVESTMENT MANAGEMENT, LLC

RATIONAL INVESTMENT MANAGEMENT, LLC

RATIONAL INVESTMENT MANAGEMENT, LLC

Adviser Profile

As of Date	03/31/2026
Registration	SEC, Approved, 02/21/2018
Other registrations (1)	California, Terminated, 04/23/2022
Contact Info	415 xxxxxxx
Websites

AUM^*	402,587,949 24%
of that, discretionary	402,587,949 24%
Number of Employees	2
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	984,323 10%
% High Net Worth	91.40% 2%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

403M 345M 288M 230M 173M 115M 58M

2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

A. Description of the Advisory Firm Rational Investment Management, LLC (hereinafter, “RIM”) is a limited liability company organized in the state of California. This firm has been in business since March 2012. RIM’s managers and principal owners are Daniel S. Sinton and Brian C. Proses. B. Types of Advisory Services RIM offers the following services to advisory clients: Investment Supervisory Services RIM offers ongoing portfolio management services based on the individual goals, objectives, time horizon, and risk tolerance of each client. RIM typically creates an Investment Policy Statement for each client, which outlines the client’s current situation (income, tax levels, and risk tolerance levels) and then constructs a plan (the Investment Policy Statement) to aid in the selection of a portfolio that matches each client’s specific situation. Investment Supervisory Services include, but are not limited to, the following: • Investment strategy • Personal investment policy • Asset allocation • Asset selection • Risk tolerance • Regular portfolio monitoring RIM evaluates the current investments of each client with respect to their risk tolerance levels and time horizon. RIM will request discretionary authority from clients in order to select securities and execute transactions without permission from the client prior to each transaction. Risk tolerance levels are documented in each client’s Investment Policy Statement.

Services Limited to Specific Types of Investments RIM generally invests on behalf of client accounts in mutual funds and ETFs. RIM may use other securities as well to help diversify a portfolio when it deems applicable. C. Client Tailored Services and Client Imposed Restrictions RIM generally offers the same suite of services to all of its clients. However, specific client financial plans and their implementation depend upon the client’s Investment Policy Statement, which outlines each client’s current situation (income, tax levels and risk tolerance levels) and is used to construct a client specific plan to aid in the selection of a portfolio that matches restrictions, needs and targets. Clients may impose restrictions on investing in certain industries, in accordance with their values or beliefs. RIM may end the relationship, however, if the restrictions prevent RIM from properly servicing the client account, or if the restrictions would require RIM to deviate from its standard suite of services. D. Wrap Fee Programs A wrap fee program is an investment program where the investor pays one stated fee that includes management fees, transaction costs, fund expenses, and any other administrative fees. RIM does not participate in any wrap fee programs. E. Amounts Under Management RIM’s assets under management are: Discretionary Amounts: Non-discretionary Amounts: Date Calculated: $325,686,069 $0.00 12/31/2023