Business Description
The firm utilizes state of the art methodologies to identify long-term profit opportunities from mispriced assets in investment markets. Our goal is to deliver above average risk-adjusted returns to our clients.
General Information Gender:    Male CRD#:    4521089 Firm CRD#:    146289 States Licensed in:    IL States Willing to do Business in:    All States Years of Experience in Financial Services:    4 Number of Years with Current Firm:    1 Work Experience:    David is the President and Founder of Rational Capital Management. Before establishing the firm, David was an Investment Associate in a boutique where he oversaw portfolios for individuals and institutions totaling $60 million in assets. Prior to that, he worked with one of the largest investment advisory teams at Morgan Stanley, who managed over $1 billion in assets for wealthy individuals and families. I work with the following types of clients:    Businesses, Investment Clubs, Non-Profit Organizations, Individual Investors
Education Academic Background   BS, Legal Studies - University of Wisconsin BS, Economics - University of Wisconsin. MBA, Finance -Washington University in St. Louis, Olin School of Business
Services Investment Types:    Alternative Investments, Exchange Traded Funds (ETFs), Mutual Funds, Bonds, Stocks, Commodities
Qualifications & Memberships Securities Licenses:    Series 63, Series 7 Insurance and Annuity Licenses:    Health, Life Non-Financial Organization Memberships:    Beta Gamma Sigma (Academic Business Honor Society)
Firm Information Number of Advisors in Office:    Up to 10 employees
Compliance Registered Investment Advisor:    Yes I am an acknowledged fiduciary:    Yes Compliance Disclosures in Last 5 years:    I have a clean record Criminal Disclosures in Last 5 years:    I have a clean record
Compensation & Fees I am a fee-only financial professional:    Yes Minimum Portfolio Size for New Managed Accounts:    $100,000 Compensation Methods:    Based on Assets Additional Details on Charges:    The firm is also willing and able to use performance fees (in lieu of assets under management fees) for qualified clients. Performance fees are also negotiable depending on assets under management, complexity of the situation, and chosen performance benchmark.
Prepared By:	David Gimpel
Most Recent Update:	09/19/2008

Frequently Asked Questions

Q.	Do you have a customer satisfaction or refund policy?

Q.	What are your qualifications? What is your education background?

Q.	What is your approach to financial planning?

Q.	How are you compensated? How will I pay for your services?

Q.	If you are going to manage my account, will you obtain my permission every time you buy or sell something?

Q.	Have you ever been charged with any breaches?

Q.	What financial institution(s) do you represent?

Q.	How do you charge for your services?

Q.	Do you provide a free initial consultation?

Q.	Why should I choose you as my financial advisor?

Q.	What are your qualifications?

Q.	What financial institutions do you represent?

Q.	What are your fees for this service?

Q.	Do you provide a free initial consultation?

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Q.	Do you have a customer satisfaction or refund policy?
Of course. You should be satisfied with our work, and should only remain a client as long as we provide superior service. As such, we do not operate on retainer or require fees to be paid in advance.

Q.	What are your qualifications? What is your education background?
Before establishing the firm, David was an Investment Associate in a boutique where he oversaw portfolios for individuals and institutions totaling $60 million in assets. Prior to that, he worked with one of the largest investment advisory teams at Morgan Stanley, who managed over $1 billion in assets for wealthy individuals and families.

Q.	What is your approach to financial planning?
Non-traditional. For example, actively-managed mutual funds and style box asset allocations may be hurting your performance. We use a cutting edge process to deliver superior risk-adjusted returns.

Q.	How are you compensated? How will I pay for your services?
Fees are negotiable depending on investable assets and complexity of your needs.

Q.	If you are going to manage my account, will you obtain my permission every time you buy or sell something?
We typically work on a discretionary basis. Without discretion, we may not be able to take advantage of the best timing for trades. However, we will work with every client based on their specific needs.

Q.	Have you ever been charged with any breaches?
No. My form U-4 is clean, and my form ADV-II is current and comprehensive.

Q.	What financial institution(s) do you represent?
As an independent advisor, I do not represent any institution.

Q.	How do you charge for your services?
Fees are negotiable depending on investable assets and complexity of your needs.

Q.	Do you provide a free initial consultation?
Absolutely. There is no way to know whether or not we can be of service to you until we have a conversation. Through the complimentary discovery process, we try learn if a business relationship would be mutually beneficial.

Q.	Why should I choose you as my financial advisor?
In addition to professional qualifications, our firm uses a unique investment management approach. Feel free to inquire, for example, why style boxes and actively managed mutual funds might be hurting your performance.

Q.	What are your qualifications?
Before establishing the firm, David was an Investment Associate in a boutique where he oversaw portfolios for individuals and institutions totaling $60 million in assets. Prior to that, he worked with one of the largest investment advisory teams at Morgan Stanley, who managed over $1 billion in assets for wealthy individuals and families.

Q.	What financial institutions do you represent?
As an independent advisor, I do not represent any institution.

Q.	What are your fees for this service?
Fees are negotiable depending on investable assets and complexity of your needs.

Q.	Do you provide a free initial consultation?
Absolutely. There is no way to know whether or not we can be of service to you until we have a conversation. Through the complimentary discovery process, we try learn if a business relationship would be mutually beneficial.