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- Custodian
- Fidelity/NFS
- Clients
- Retail and Institutional
- Platforms
- Available
- Established Date
- 08-21-2006
- Office Locations
- 1
Office Locations
About Elm3 Financial Group, LLC
Elm3 Financial Group is a Georgia-based RIA providing holistic investment advisory and financial planning for individuals and small businesses, including retirement and insurance planning. The team includes CPAs, Enrolled Agents and CFP® professionals, integrating tax-aware planning with portfolio construction. Public filings show portfolios largely in ETFs and mutual funds, primarily custodied at Fidelity/NFS.
Team overview
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Asset Classes
CRM
Custodian
Investment Themes
Investment Vehicles
Platform
Services
Technology
Owner & Executives
STACEY ANN NICKENS
Chief Investment Officer, Owner, President
- CRD
- #5100771
- Ownership
- 75% or more
Margaret Nickens
Chief Compliance Officer, FOUNDER, Owner
- CRD
- #7497497
- Ownership
- Less than 5%
Showing 2 of 2 owners & executives
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Roxane Sue Dimon
Lead Financial Planner
- CRD
- #1192124
Monica Ladson
Investment Strategist
- CRD
- #7948053
Showing 2 of 4 contacts
Unlock allAssets Under Management
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $183,011,102 | $274,379 |
| Non-Discretionary | $6,027,041 | $463,619 |
| Total | $189,038,143 | $277,997 |
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Separately Managed Accounts
Total SMA Asset: Available
| Asset class | Assets | Assets % |
|---|---|---|
| Public Funds | Available | Available |
| Equity - Exchange | Available | Available |
| Equity - OTC | Available | Available |
| Cash | Available | Available |
| Corporate - Investment Grade | Available | Available |
| Municipal Bonds | Available | Available |
| U.S. Government/Agency | Available | Available |
| Total | Available | Available |
13F Holdings | Q1 2026
| Issuer | Class | CUSIP | Ticker | % | Value |
|---|---|---|---|---|---|
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
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