{"url":"https://nivawealth.com/firms/carbon-collective-investing-310129","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/310129","regulatoryAum":348353604,"crd":"310129","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7630293","suffix":null,"lastName":"Boise","firstName":"Tavis","middleName":"Wladyslav"},{"crd":"7468858","suffix":null,"lastName":"Murphy","firstName":"Breene","middleName":null},{"crd":"7277421","suffix":null,"lastName":"Regulinski","firstName":"James","middleName":"Marshall 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Company","shortName":"Ascensus Trust","location":"Fargo, SD","smaAssets":49200517},{"name":"Matrix Trust Company","shortName":"Matrix Trust","location":"Denver, CO","smaAssets":94735409},{"name":"Empower Trust Company, LLC","shortName":"Empower","location":"Greenwood Village, CO","smaAssets":7352260},{"name":"Standard Insurance Company","shortName":"Standard Insurance","location":"Portland, OR","smaAssets":10720000},{"name":"Adp Strategic Plan Services","shortName":"Adp Strategic Plan Services","location":"Roseland, NJ","smaAssets":1390000},{"name":"Mid Atlantic Clearing & Settlement Corporation","shortName":"Mid Atlantic Clearing & Settlement","location":"Dubuque, IA","smaAssets":1032071}],"custodyNote":"Carbon Collective Investing does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"James Regulinski","title":"Co-Founder & Chief Compliance Officer","crd":"7277421"},{"name":"Zachary Stein","title":"Co-Founder","crd":"7277437"}],"ownership":[{"label":"Osmo Systems, Inc","detail":"Parent company in the 75% or more ownership band and a control person, since July 2020."},{"label":"Zachary Stein","detail":"Indirect owner: a co-founder of Osmo Systems, Inc in the 25% to 50% band and a control person, since November 2014.","parent":"Osmo Systems, Inc"},{"label":"James Regulinski","detail":"Indirect owner: a co-founder of Osmo Systems, Inc in the 25% to 50% band and a control person, since March 2016.","parent":"Osmo Systems, Inc"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"2648 International BLVD, Ste 301","city":"Oakland","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"925-268-8041","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":66},{"label":"Investment grade corporate bonds","percent":18},{"label":"Securities issued by registered investment companies or business development companies","percent":6},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"25 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/310129/PDF/310129.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 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They include 1,216 individuals, 139 pension and profit-sharing plans, and 2 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Carbon Collective Investing offer?","answer":"Carbon Collective Investing provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Carbon Collective Investing use?","answer":"Carbon Collective Investing’s separately managed account assets are held at Matrix Trust Company (Denver, CO), with $94.7M, Altruist Financial LLC (Culver City, CA), with $62.8M, Ascensus Trust Company (Fargo, SD), with $49.2M, Standard Insurance Company (Portland, OR), with $10.7M, Empower Trust Company, LLC (Greenwood Village, CO), with $7.35M, Adp Strategic Plan Services (Roseland, NJ), with $1.39M and Mid Atlantic Clearing & Settlement Corporation (Dubuque, IA), with $1.03M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Carbon Collective Investing have?","answer":"Carbon Collective Investing has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Carbon Collective Investing invest in?","answer":"At the end of its last fiscal year, Carbon Collective Investing’s separately managed accounts held 66% exchange-traded equities, 18% investment grade corporate bonds, 10% cash and equivalents and 6% registered funds (mutual funds, ETFs, BDCs).","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Carbon Collective Investing?","answer":"Carbon Collective Investing is owned through a holding company by Zachary Stein and James Regulinski. Its direct owner is Osmo Systems, Inc (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Carbon Collective Investing get paid?","answer":"Carbon Collective Investing is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Carbon Collective Investing?","answer":"Carbon Collective Investing’s main office is at 2648 International BLVD, Ste 301, Oakland, CA 94601. Its phone number is 925-268-8041. Its website is carboncollective.co.","source":"Form ADV Part 1A, Item 1.F, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}