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 operates as an independent SEC-registered registered investment adviser organized as an LLC and owner-operated. The firm positions itself as a hybrid advisory practice serving individual and family clients alongside institutional relationships. Core services center on financial planning and discretionary portfolio management for individuals and small businesses. Its fee model mixes asset-based fees with hourly and fixed-fee engagements. The firm does not list ESG investing as an active strategy, and is identified as not functioning as a capital allocator or pension consultant. Industry affiliations include other investment advisers and accounting professionals.
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%
Owners & executives
1 of 1
Margaret Nickens
Chief Compliance OfficerCRD 7497497
Contacts
3 of 3
Monica Ladson
Client ServicesCRD 7948053
Stacey Nickens
Principal and FounderCRD 5100771
Roxane Dimon
Lead Financial PlannerCRD 1192124
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 94Active vs passive
$88.2M in ETFs
74%
$65.5M
20%
$22.7M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| INVESCO QQQ TRUST SERIES 1 (QQQ) | Invesco | Passive | Large Growth | $4.8M | 6,497 | 5.42% |
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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