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Elm3 Financial Group, LLC

● SEC registered since 2022CRD 140594SEC# 801-126278Alpharetta, GA
Export (members)
Reg. AUM
$159.1M
Employees
5
Accounts
631
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 $159.1 million in regulatory assets under management and employs 5 people.
www.facebook.com/elm3financialView on SEC.gov ↗

Elm3 Financial Group, LLC owners & executives

2 reported
NameTitleOwnershipSince
Margaret NickensChief Compliance OfficerUnder 5%2022
Stacey Ann Nickens ControlChief Investment Officer/ President/MemberOver 75%2006

Frequently asked questions

How much does Elm3 Financial Group, LLC manage?

Elm3 Financial Group, LLC reports $159.1 million in regulatory assets under management on its Form ADV.

How many employees does Elm3 Financial Group, LLC have?

Elm3 Financial Group, LLC reports 5 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

Address5755 North Point Pkwy, Suite 92, Alpharetta, GA 30022-1145
Phone678-297-9500
Fax678-297-9514
Office hours9 a.m. - 5:00 p.m.
SEC regionAtlanta Regional Office (ARO)
CIK2011201
Discloses disciplinary historyNo

Assets under management

Discretionary$159M
Non-discretionary$120K
Total (RAUM)$159.1M