DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
C••••• C••••••••• I••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Jul 16, 2020 · 23 filings
SEC status approved since Aug 25, 2020
RAUM
$348M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
18%
$62.3M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$87.1M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$348M as of Mar 25, 2026
Jan 5, 2021$1.4M then
HNW client RAUM$2.0M as of Mar 31, 2023
Mar 28, 2022$1.6M then
State-registered IARs (5.B.3)4 as of Mar 25, 2026
Jan 5, 20212 then
Employees (5.A)4 as of Mar 25, 2026
Jan 5, 20212 then
Private funds: no history
RAUM +50% over the last fiscal year+97% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $87.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $269,624derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 46%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +50%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- $444MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$160M46%
- Pooled investment vehicles$63.3M18%
- Investment companies$63.0M18%
- Individuals$62.3M18%
- Individual clients
- 1,216reported
- HNW clients
- n/areported
- Pension plan clients
- 139reported
- Charitable clients
- n/areported
- Accounts
- 1,292reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $222M sponsored, $222M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.18 fund_share=0.36 institutional_share=0.46 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Z•••••• R•••• S•••• | Albany, Ca | Aug 25, 2020 | 13 y | 0 |
| B••••• M••••• | Laguna Beach, Ca | Nov 16, 2021 | 10 y | 0 |
| T•••• W•••••••• B•••• | Gaviota, Ca | Sep 8, 2022 | 14 y | 0 |
| J•••• M••••••• M•••• R••••••••• | Bellingham, Wa | Dec 14, 2023 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- M••••• A•• H••• B••••• to A••••• W••••• P•••••••May 22, 2025 · RIA to RIA
- J••• P••••• M•••••••• to A••••••• C•••••• M••••••••• ••••••••• L•Mar 27, 2024 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••••• J••••• M••••••• M•••• · Co-Founder & Chief Compliance Officercontrolsince 03/2016 · owns less than 5%
- R••••••••• J••••• M••••••• M•••• · Co-Foundercontrolsince 03/2016 · owns 25% to 50% of O••• S••••••• I••
- S••••• Z••••••• R•••• · Co-Foundercontrolsince 11/2014 · owns 25% to 50% of O••• S••••••• I••
- S••••• Z••••••• R•••• · Co-Foundersince 11/2014 · owns less than 5%
Entity owners
- O••• S••••••• I•• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Laguna Beach, Ca | 1 | 0 | 0 | ||
| New York, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 25, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2025-11-12, yes on the filing of 2026-03-25peers: other advisers, $100M to $500M (212)
What changed
consecutive filings, newest first
- Accounts · 1,306 to 1,292Nov 12, 2025 to Mar 25, 2026
- Advisory employees · 3 to 4Nov 12, 2025 to Mar 25, 2026
- Advisory activities · 2 to 4Nov 12, 2025 to Mar 25, 2026
- Individual clients · 1,170 to 1,216Nov 12, 2025 to Mar 25, 2026
- Pension plan clients · 132 to 139Nov 12, 2025 to Mar 25, 2026
- Employees · 5 to 4Nov 12, 2025 to Mar 25, 2026
- State-registered IARs · 5 to 4Nov 12, 2025 to Mar 25, 2026
- Discretionary RAUM · $233M to $348MNov 12, 2025 to Mar 25, 2026
- Individual RAUM · $52.4M to $62.3MNov 12, 2025 to Mar 25, 2026
- Pension RAUM · $92.5M to $160MNov 12, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $41.5M to $63.3MNov 12, 2025 to Mar 25, 2026
- RAUM · $233M to $348MNov 12, 2025 to Mar 25, 2026
- Wrap assets (manager) · $145M to $222MNov 12, 2025 to Mar 25, 2026
- Wrap assets (sponsor) · $145M to $222MNov 12, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Jun 18, 2025 to Nov 12, 2025
- Accounts · 1,136 to 1,306Dec 9, 2024 to Mar 28, 2025
- Individual clients · 1,033 to 1,170Dec 9, 2024 to Mar 28, 2025
- Pension plan clients · 100 to 132Dec 9, 2024 to Mar 28, 2025
- Employees · 7 to 5Dec 9, 2024 to Mar 28, 2025
- State-registered IARs · 6 to 5Dec 9, 2024 to Mar 28, 2025
- Discretionary RAUM · $123M to $233MDec 9, 2024 to Mar 28, 2025
- Individual RAUM · $41.7M to $52.4MDec 9, 2024 to Mar 28, 2025
- Pension RAUM · $52.6M to $92.5MDec 9, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $5.3M to $41.5MDec 9, 2024 to Mar 28, 2025
- RAUM · $123M to $233MDec 9, 2024 to Mar 28, 2025
- Wrap assets (manager) · $118M to $145MDec 9, 2024 to Mar 28, 2025
- Wrap assets (sponsor) · $118M to $145MDec 9, 2024 to Mar 28, 2025
- Accounts · 1,040 to 1,136Sep 8, 2023 to Mar 26, 2024
- Advisory employees · 2 to 3Sep 8, 2023 to Mar 26, 2024
- HNW clients · 2.0 to unsetSep 8, 2023 to Mar 26, 2024
- Individual clients · 960 to 1,033Sep 8, 2023 to Mar 26, 2024
- Pension plan clients · 76 to 100Sep 8, 2023 to Mar 26, 2024
- Pooled vehicle clients · unset to 2.0Sep 8, 2023 to Mar 26, 2024
- Employees · 6 to 7Sep 8, 2023 to Mar 26, 2024
- Financial planning clients · unset to 0Sep 8, 2023 to Mar 26, 2024
- State-registered IARs · 5 to 6Sep 8, 2023 to Mar 26, 2024
- Discretionary RAUM · $82.7M to $123MSep 8, 2023 to Mar 26, 2024
- HNW RAUM · 2345491.0 to unsetSep 8, 2023 to Mar 26, 2024
- Individual RAUM · $36.1M to $41.7MSep 8, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $841,079 to $0Sep 8, 2023 to Mar 26, 2024
Signals
5 dated events
- C••••• C••••••••• I••••••••• L•• reported RAUM $348.4M, up 50% from $232.6M (2025-11-12 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- M••••• A•• H••• B••••• left C••••• C••••••••• I••••••••• L•• for A••••• W••••• P••••••• (registered 2026-04-28)May 22, 2025 · Advisor changed firm · fact
- C••••• C••••••••• I••••••••• L•• reported RAUM $232.6M, up 89% from $122.9M (2024-12-09 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- J••• P••••• M•••••••• left C••••• C••••••••• I••••••••• L•• for A••••••• C•••••• M••••••••• ••••••••• L• (registered 2025-10-17)Mar 27, 2024 · Advisor changed firm · fact
- C••••• C••••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Jul 16, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/carbon-collectivereportedpublic record, Form ADV, Sep 18, 2026
- Website
- carboncollective.coreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-268-8041reportedpublic record, Form ADV, Mar 25, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $87.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026