SourcingSourcing

ELM3 FINANCIAL GROUP, LLC

C38
CRD 140594·SEC 801-126278·ALPHARETTA, GA
AUM
$189.0M
$100M-$500M
Est. Revenue
$1.9M
@ 1% on AUM
Est. EBITDA
$567K
@ 30% margin
Est. Deal Value
$4.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ELM3 FINANCIAL GROUP, LLC
CRD
140594
SEC file #
801-126278
EIN
870760622
DBA names
—

Economics

AUM
$189.0M
AUM band
$100M-$500M
AUM trajectory
'23'26
$135.4M → $189.0M▲ +40%
Client mix
Individuals Other216
Individuals High Net Worth66
Corporations5

Operations

Employees (total)
5
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'23'26
2 advisors → 3 advisors▲ +50%
Primary office
ALPHARETTA GA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
02/19/2026
ADV-W filed at
—
Website
facebook.com/elm3financial(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
NICKENS, STACEY, ANN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
NICKENS, STACEY, ANN
Nickens, Margaret
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:elm3.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002011201
Edgar Registered
Yes
Edgar Filing Count
7
Edgar First Filing Date
2025-01-27
Edgar Last Filing Date
2026-04-13
Edgar 13f Count
6
Edgar 13f Latest AUM Estimate
Filing Date2026-04-13
Accession0002011201-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
E*trade4
Fidelity2
Edgar Addresses
Mailing
5755 NORTH POINT PARKWAYSUITE 92ALPHARETTA, GA 30022
Business
5755 NORTH POINT PARKWAYSUITE 92ALPHARETTA, GA 30022
Edgar EIN
870760622
Edgar Recent Filings
13F-HR2026-04-13 · 0002011201-26-000002
13F-HR2026-01-22 · 0002011201-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
5100771
Trust Company Affiliate
No

People (3)

3
NICKENS, STACEY, ANN
IAR · Direct Owner · 87.5%
5100771
Nickens, Margaret
IAR · Executive Officer · 2.5%
7497497
Monica Ladson
IAR
7948053