ELM3 FINANCIAL GROUP, LLC

RIASEC RegisteredEst. 2022
Total AUM
$189M
Discretionary
$183M
97% of AUM
Avg account
$278K
Accounts
680
Employees
5
Advisory reps
3

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

FINTRX

Overview

Elm3 Financial Group, LLC is an independent registered investment adviser (SEC-registered in 2022) organized as an LLC and owned by an individual. The firm serves both individual and family clients as well as institutional accounts, and its advisory work centers on financial planning and portfolio management for individuals and small businesses. Compensation is flexible: percentage-of-AUM arrangements are used alongside hourly and fixed fees. Elm3 does not market itself as an ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 48%, Exchange Traded Equities 46%, Non-Exchange Traded Equities 4%, US Government Bonds 1%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%, Cash & Cash Equivalents 1%48%
  • Public Funds/Mutual Funds48%
  • Exchange Traded Equities46%
  • Non-Exchange Traded Equities4%
  • US Government Bonds1%
  • State & Local Bonds1%

Contacts

3 of 3

  • Monica Ladson

    Client ServicesCRD 7948053

  • STACEY NICKENS

    Principal and FounderCRD 5100771

  • Margaret Nickens

    Financial AnalystCRD 7497497

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 76

Active vs passive

$68.3M in ETFs

Passive

73%

$50.1M

Active

23%

$18.2M

ETFProviderStyleCategoryValueShares% of portfolio
INVESCO QQQ TRUST SERIES 1 (QQQ)InvescoPassiveLarge Growth$4M6,9455.87%
Unlock additional holdings →

Location

Primary office

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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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth