ELM3 FINANCIAL GROUP, LLC
Adviser information for ELM3 FINANCIAL GROUP, LLC last updated from Form ADV on March 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Georgia, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 606 | $136.2M |
| Non-Discretionary | 3 | $878,280 |
| Total | 609 | $137.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 206 | $44.6M |
| HNW Individuals | 54 | $92.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $355,202 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-126278 |
|---|---|
| SEC ERA File Number | 801-126278 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 140594 |
| Legal Entity Identifier | None |
Principal Office
5755 NORTH POINT PKWYSUITE 92
ALPHARETTA
GA
United States
Monday - Friday, 9 AM - 5:00 PM
Tel: 678-297-9500, Fax: 678-297-9514
Chief Compliance Officer
MARGARET NICKENS
5755 NORTH POINT PKWY
SUITE 92
ALPHARETTA
GA
United States
Tel:
678-297-9500
Fax:
678-297-9514
M***************@****************M
(Full email address available in API data)
Regulatory Contact
STACEY NICKENS
PRESIDENT
5755 NORTH POINT PKWY
SUITE 92
ALPHARETTA
GA
United States
Tel:
678-297-9500
Fax:
678-297-9514
S*************@****************M
(Full email address available in API data)
Industry Affiliates
| ELM3 CPA TAX & ACCOUNTING | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NICKENS, STACEY, ANN | Individual | – | CHIEF INVESTMENT OFFICER/ PRESIDENT/MEMBER | 02/2006 | > 75% |
| Nickens, Margaret | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2022 | < 5% |