Elm3 Financial Group, LLC
● SEC registered since 2022CRD 140594SEC# 801-126278Alpharetta, GA
Reg. AUM
$189M
Employees
6
Accounts
680
Location
Alpharetta, GA
Elm3 Financial Group, LLC assets under management
Elm3 Financial Group, LLC operates as an SEC-registered investment adviser based in Alpharetta, GA. The firm has been registered since 2022. It reports $189 million in regulatory assets under management and employs 6 people.
Elm3 Financial Group, LLC owners & executives
2 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Margaret Nickens Control | Chief Compliance Officer | Under 5% | 2022 |
| Stacey Ann Nickens Control | Chief Investment Officer/ President/Member | Over 75% | 2006 |
Frequently asked questions
How much does Elm3 Financial Group, LLC manage?
Elm3 Financial Group, LLC reports $189 million in regulatory assets under management on its Form ADV.
How many employees does Elm3 Financial Group, LLC have?
Elm3 Financial Group, LLC reports 6 employees.
Where is Elm3 Financial Group, LLC located?
Elm3 Financial Group, LLC is based in Alpharetta, GA and has been SEC-registered since 2022.
Does Elm3 Financial Group, LLC disclose fund performance?
Elm3 Financial Group, LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 5755 North Point Pkwy, Suite 92, Alpharetta, GA 30022-1145 |
| Phone | 678-297-9500 |
| Fax | 678-297-9514 |
| Office hours | 9 a.m. - 5:00 p.m. |
| SEC region | Atlanta Regional Office (ARO) |
| CIK | 2011201 |
| Discloses disciplinary history | No |
Regulatory AUM
$189M▲ 38%
Jan '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 76%
Larger than 24% of 16,271 advisers
EmployeesTop 56%
More than 44% of 16,825 advisers
Assets under management
$189Mregulatory AUM
Discretionary $183MNon-discretionary $6M