Asset manager · Oakland, CA
Carbon Collective Investing, LLC
SEC-registered investment adviser · CRD 310129 · SEC 801-119296
At a glance
Carbon Collective Investing, LLC is an SEC-registered investment adviser based in Oakland, California, with $348 million in regulatory assets under management as of its Form ADV filed March 25, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 1,216 individual clients. By Form ADV it is a asset manager, ranked 1,851st of 3,218 asset managers and 9,427th of 17,210 SEC-registered advisers by assets.
Main office 925-268-8041carboncollective.coLinkedInAs filed on Form ADV
- Regulatory AUM
- $348M
- Rank among asset managers
- #1,851 of 3,218
- Rank among all SEC RIAs
- #9,427 of 17,210
- Rank in California
- #1,089 of 1,873
- Individual clients
- 1,216
- High-net-worth clients
- 0
- Accounts
- 1,292
- Discretionary
- 100% of AUM
- Employees
- 4
- Advisory staff
- 4
- Offices
- 1
Owners and executives on its Form ADV
- Zachary R. SteinCo-Founder
- James M. RegulinskiCo-Founder & Chief Compliance Officer
Custody and brokerage
7 custodians
- Matrix Trust$95M42%
- Altruist$63M28%
- Ascensus Trust$49M22%
- The Standard$11M5%
- Empower Trust$7M3%
- ADP Retirement Services$1M<1%
- MID Atlantic Clearing & Settlement$1M<1%
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 139 | $160M | 46% |
| Pooled investment vehicles | 2 | $63M | 18% |
| Investment companies | 2 | $63M | 18% |
| Individuals | 1,216 | $62M | 18% |
Disciplinary disclosures
Carbon Collective Investing, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗carboncollective.co ↗
AtlasMembers
The full record on Carbon Collective Investing, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 5 years of filings
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- Growth over one, three and five years
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- Rank against 953 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Carbon Collective Investing, LLC manage?
Carbon Collective Investing, LLC reports $348 million in regulatory assets under management across 1,292 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 25, 2026.
What kind of firm is Carbon Collective Investing, LLC?
Carbon Collective Investing, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Carbon Collective Investing, LLC’s clients?
By assets, its largest client types are pension and profit sharing plans ($160 million, 139 clients); pooled investment vehicles ($63 million, 2 clients); investment companies ($63 million, 2 clients).
Does Carbon Collective Investing, LLC have any disciplinary history?
Carbon Collective Investing, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Carbon Collective Investing, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-25), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →