Elm3 Financial Group, LLC
Firm details
- Headquarters
- Alpharetta, Georgia
- CRD number
- 140594
- Registered since
- August 3, 2022
- Website
- elm3financial.com
- Custodians
- FIDELITY DISTRIBUTORS COMPANY LLC
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI71.31%
- Individuals27.89%
- Corporations / Businesses0.8%
- Services
- Financial PlanningPortfolio Management for Individuals
Firm profile
FINTRXOverview
Elm3 Financial Group, LLC is an independent registered investment adviser operating as a limited liability company and owned by an individual. The firm offers fee-based financial planning and discretionary portfolio management aimed primarily at individuals, families and small businesses, while also serving some institutional clients. Its billing options include a percentage of assets under management as well as hourly and fixed-fee arrangements. Elm3 registered with the SEC in 2022 and reports affiliations with another investment adviser and an accounting firm. The firm does not identify as an active ESG investor, is not a multi-state adviser, and does not act as a capital allocator.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds48%
- Exchange Traded Equities46%
- Non-Exchange Traded Equities4%
- US Government Bonds1%
- State & Local Bonds1%
Contacts
3 of 4
Monica Ladson
Client ServicesCRD 7948053
Stacey Nickens
Principal and FounderCRD 5100771
Roxane Dimon
Financial PlannerCRD 1192124
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 76Active vs passive
$68.3M in ETFs
73%
$50.1M
23%
$18.2M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| INVESCO QQQ TRUST SERIES 1 (QQQ) | Invesco | Passive | Large Growth | $4M | 6,945 | 5.87% |
Location
Alpharetta, GA
Fulton
Location
Alpharetta, GA
Headquartered in Alpharetta, GA, anchoring the Atlanta--Athens-Clarke County--Sandy Springs, GA-AL metro in the South.
- Metro area
- Atlanta--Athens-Clarke County--Sandy Springs, GA-AL
- Region
- South
- County
- Fulton
- Address
- 5755 N Point Pkwy
- Time zone
- ET (UTC-5)
- Office locations
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