{ "crd_number": 310129, "slug": "carbon-collective-investing-llc-oakland-ca-310129", "primary_business_name": "CARBON COLLECTIVE INVESTING, LLC", "legal_name": "CARBON COLLECTIVE INVESTING, LLC", "dbas": [], "city": "Oakland", "state": "CA", "country": "United States", "cbsa_code": "41860", "metro": { "cbsa_code": "41860", "common_name": "San Francisco", "msa_name": "San Francisco-Oakland-Fremont, CA", "path": "/advisors/ca/san-francisco" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2020-08-25", "years_registered": 6, "period": "2026-10-01", "filing_date": "2026-03-25", "carried_forward": false, "raum_total": 348353604.0, "raum_discretionary": 348353604.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 4, "advisory_employees": 4, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 62326585.0, "count": 1216 }, "investment_companies": { "raum": 63050000.0, "count": 2 }, "pension_profit_sharing": { "raum": 159687019.0, "count": 139 }, "pooled_investment_vehicles": { "raum": 63290000.0, "count": 2 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_investment_companies", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": true, "disclosure_yes_count": 0, "states_registered": [ "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "IA", "IL", "IN", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MT", "NC", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "TN", "TX", "UT", "VA", "VT", "WA", "WI" ], "websites": [ "https://carboncollective.co", "https://carboncollectivefunds.com", "https://instagram.com/carbon.collective?hl=en", "https://linkedin.com/company/carbon-collective", "https://m.facebook.com/carboncollectiveinvesting", "https://tiktok.com/@carbon.collective", "https://x.com/CarbnCollective", "https://youtube.com/@carboncollective-sustainab3703" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/310129", "city_as_filed": "OAKLAND", "url": "https://advisorcensus.com/firm/carbon-collective-investing-llc-oakland-ca-310129", "display_name": "Carbon Collective Investing, LLC", "summary": "Carbon Collective Investing, LLC is an SEC-registered investment advisory firm in Oakland, CA, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 25, 2026.", "citation": "AdvisorCensus. Carbon Collective Investing, LLC (CRD 310129): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for investment companies (and business development companies)", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Carbon Collective Investing, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Carbon Collective Investing, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Carbon Collective Investing, LLC located?", "a": "Carbon Collective Investing, LLC's principal office is in Oakland, CA, according to its Form ADV." }, { "q": "Is Carbon Collective Investing, LLC registered with the SEC or a state?", "a": "Carbon Collective Investing, LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 310129." }, { "q": "How much does Carbon Collective Investing, LLC manage?", "a": "Carbon Collective Investing, LLC reports $348,353,604 in regulatory assets under management in its Form ADV filing dated March 25, 2026 (100% discretionary)." }, { "q": "How have Carbon Collective Investing, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Carbon Collective Investing, LLC: Regulatory assets under management: $8,269,673 in the October 2021 data and $348,353,604 in the October 2026 data, up 4112%. Total employees: 3 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Carbon Collective Investing, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,216); pension and profit sharing plans (but not the plan participants or government pension plans) (139); investment companies (2)." }, { "q": "Which custodians does Carbon Collective Investing, LLC use?", "a": "Carbon Collective Investing, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists ADP Retirement Services, Altruist Financial LLC, Ascensus Trust, Empower Trust Company, Matrix Trust Company, Mid Atlantic Clearing & Settlement Corporation and The Standard as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Carbon Collective Investing, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/310129" }, { "q": "What changed in Carbon Collective Investing, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 3 to 4. Regulatory assets under management went from $232,571,324 to $348,353,604 (+50%). Registered or notice-filed in DE." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 8269673.0, "total_employees": 3, "filing_date": "2021-09-07" }, { "period": "2022-10-01", "regulatory_assets_under_management": 19964349.0, "total_employees": 5, "filing_date": "2022-03-28" }, { "period": "2023-10-01", "regulatory_assets_under_management": 83516284.0, "total_employees": 6, "filing_date": "2023-09-08" }, { "period": "2024-10-01", "regulatory_assets_under_management": 122867425.0, "total_employees": 7, "filing_date": "2024-07-09" }, { "period": "2025-10-01", "regulatory_assets_under_management": 232571324.0, "total_employees": 5, "filing_date": "2025-06-18" }, { "period": "2026-10-01", "regulatory_assets_under_management": 348353604.0, "total_employees": 4, "filing_date": "2026-03-25" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 3 to 4.", "Regulatory assets under management went from $232,571,324 to $348,353,604 (+50%).", "Registered or notice-filed in DE." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "No longer registered or notice-filed in ID." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Registered or notice-filed in NE, OK." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "ADP Retirement Services", "name_as_filed": "ADP RETIREMENT SERVICES", "affiliated": false }, { "name": "Altruist Financial LLC", "name_as_filed": "ALTRUIST FINANCIAL LLC", "affiliated": false }, { "name": "Ascensus Trust", "name_as_filed": "ASCENSUS TRUST", "affiliated": false }, { "name": "Empower Trust Company", "name_as_filed": "EMPOWER TRUST COMPANY", "affiliated": false }, { "name": "Matrix Trust Company", "name_as_filed": "MATRIX TRUST COMPANY", "affiliated": false }, { "name": "Mid Atlantic Clearing & Settlement Corporation", "name_as_filed": "MID ATLANTIC CLEARING & SETTLEMENT CORPORATION", "affiliated": false }, { "name": "The Standard", "name_as_filed": "THE STANDARD", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/carbon-collective-investing-llc-oakland-ca-310129.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 1216, "fewer_than_5": false, "raum": 62326585.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 2, "fewer_than_5": false, "raum": 63050000.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 2, "fewer_than_5": false, "raum": 63290000.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 139, "fewer_than_5": false, "raum": 159687019.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/310129", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }