Elm3 Financial Group, LLC
Registered investment adviser · Alpharetta, GA · CRD #140594
Form ADV data as of 2026-09-01Regulatory assets
$189.0 million
Total accounts
680
Employees
6
Disclosure events
0
Firm details
- Website: https://www.facebook.com/elm3financial/
- Telephone: 678-297-9500
- SEC file number: 801-126278
- Most recent Form ADV filing: 2026-06-08
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $183.0 million |
| Non-discretionary regulatory assets under management | $6.0 million |
| Total regulatory assets under management | $189.0 million |
| Discretionary accounts | 667 |
| Non-discretionary accounts | 13 |
| Total accounts | 680 |
| Regulatory assets under management attributable to non-U.S. persons | $1.3 million |
People
| Total employees (excluding clerical) | 6 |
| Employees performing investment advisory functions (including research) | 4 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 4 |
| Employees registered as IARs for another investment adviser | 1 |
| Employees who are licensed insurance agents | 2 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $12.1 million |
| Clients for whom the firm has custody | 33 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends brokers or dealers to clients
- Receives soft dollar benefits
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 216 | $52.7 million |
| High net worth individuals | 66 | $134.8 million |
| Corporations or other businesses not listed above | 5 | $1.5 million |