CARBON COLLECTIVE INVESTING, LLC
Adviser information for CARBON COLLECTIVE INVESTING, LLC last updated from Form ADV on March 26th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| 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 | 1,136 | $122.9M |
| Non-Discretionary | 0 | $0 |
| Total | 1,136 | $122.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,033 | $41.7M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $23.3M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $5.3M |
| Pension and profit sharing plans | 100 | $52.6M |
| 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 individuals and/or small businessesPortfolio management for investment companies |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 117.6M |
| Portfolio Manager | 117.6M |
| Both for Same | 117.6M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CARBON COLLECTIVE INVESTING, LLC PERSONAL WRAP FEE PROGRAM | CARBON COLLECTIVE INVESTING, LLC |
| CARBON COLLECTIVE INVESTING, LLC EMPLOYER WRAP FEE PROGRAM | CARBON COLLECTIVE INVESTING, LLC |
Identifiers
| SEC RIA File Number | 801-119296 |
|---|---|
| SEC ERA File Number | 801-119296 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310129 |
| Legal Entity Identifier | None |
Principal Office
2648 INTERNATIONAL BLVDSTE 115
OAKLAND
CA
United States
NOT APPLICABLE - OFFICE VISITS BY APPOINTMENT ONLY, NOT APPLICABLE - OFFICE VISITS BY APPOINTMENT ONLY
Tel: 925-268-8041, Fax: N/A
Chief Compliance Officer
JAMES REGULINSKI
CO-FOUNDER
2648 INTERNATIONAL BLVD
STE 115
OAKLAND
CA
United States
Tel:
559-644-3195
Fax:
N/A
J****@******************O
(Full email address available in API data)
Regulatory Contact
ZACHARY STEIN
CO-FOUNDER
2648 INTERNATIONAL BLVD
STE 115
OAKLAND
CA
United States
Tel:
925-268-8041
Fax:
N/A
Z***@******************O
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Stein, Zachary, Ruark | Individual | – | CO-FOUNDER | 11/2014 | < 5% |
| Regulinski, James, Marshall Myers | Individual | – | CO-FOUNDER & CHIEF COMPLIANCE OFFICER | 03/2016 | < 5% |
| OSMO SYSTEMS, INC | Domestic Entity | – | PARENT COMPANY | 07/2020 | > 75% |
| Stein, Zachary, Ruark | Individual | OSMO SYSTEMS, INC | CO-FOUNDER | 11/2014 | 25-50% |
| Regulinski, James, Marshall Myers | Individual | OSMO SYSTEMS, INC | CO-FOUNDER | 03/2016 | 25-50% |