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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

ELM3 FINANCIAL GROUP, LLC

CRD 140594

ALPHARETTA, GA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d2598e80-ae6f-63f5-1cc2-6e9bbe72d7fc

Data as of Jun 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jun 29, 2022 to Jun 8, 2026
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $189MItem 5.F on the latest filing (2026-06-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $183M
Private client RAUM: $188MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $47.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 4
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 680
Individual clients: 216
High net worth clients: 66
Custody, client assets: $12.1M
SEC number: 801-126278
CIK: 2011201
CRD: 140594
Filings on the tape: 19
First filed: Jun 29, 2022
Latest filed: Jun 8, 2026
Organised: Limited Liability Company, GA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
STACEY ANN NICKENS	Certified Financial Planner	Alpharetta, GA \| ALPHARETTA, GA	20	21	n/a	no
Margaret Nickens	Certified Financial Planner	Commerce City, CO \| ALPHARETTA, GA	4	10	n/a	no
Monica Ladson	n/a	ALPHARETTA, GA	0	9	n/a	no
Roxane Sue Dimon	Certified Financial Planner	ALPHARETTA, GA	0	23	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
NICKENS, STACEY, ANN	CHIEF INVESTMENT OFFICER/ PRESIDENT/MEMBER	E	yes	02/2006	Jun 29, 2022	Jul 23, 2024
Nickens, Margaret	CHIEF COMPLIANCE OFFICER	Na	no	06/2022	Jun 29, 2022	Jul 23, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ELM3 CPA TAX & ACCOUNTING, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 4 of 7

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 19, 2026	$189M	$183M	5	3	2	n/a	n/a
2024	Apr 2, 2025	$159M	$159M	5	2	2	n/a	n/a
2023	Mar 15, 2024	$137M	$136M	5	2	2	n/a	n/a
2022	Mar 23, 2023	$107M	$106M	3	2	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	1	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$189M	$159M	18.8%	$107M	21.0%	6	5	2	2

Relationships

Registered with (5)

← Roxane Sue DimonAdvisorregistration: current employment
Jun 23, 2026 to presentfactForm ADV
← Monica LadsonAdvisorregistration: current employment
Dec 16, 2025 to presentfactForm ADV
← Margaret NickensAdvisorregistration: current employment
Mar 2, 2022 to presentfactForm ADV
← STACEY ANN NICKENSAdvisorregistration: current employment
Aug 21, 2006 to presentfactForm ADV
← Catherine Marie MorganAdvisorregistration: previous registration
Jul 1, 2016 to Feb 23, 2018factForm ADV

Controls (1)

← NICKENS, STACEY, ANNOwnerCHIEF INVESTMENT OFFICER/ PRESIDENT/MEMBER, ownership code E, individual
Jun 29, 2022 to Jul 23, 2024factForm ADV

Owns (1)

← Nickens, MargaretOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 29, 2022 to Jul 23, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 29, 2022
First Form ADV filing
Elm3 Financial Group, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

First seen by DFX
Sep 16, 2026
date not stated
Roxane Sue Dimon no longer holds an investment adviser registration (last listed at Elm3 Financial Group, Llc on the 2026-09-15 feed)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d2598e80-ae6f-63f5-1cc2-6e9bbe72d7fc
First observed: Jun 29, 2022
Last observed: Jun 8, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ELM3 FINANCIAL GROUP, LLC

CRD 140594

ALPHARETTA, GA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d2598e80-ae6f-63f5-1cc2-6e9bbe72d7fc

Data as of Jun 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:02 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

STACEY ANN NICKENS

Certified Financial Planner

Alpharetta, GA | ALPHARETTA, GA

n/a

Margaret Nickens

Certified Financial Planner

Commerce City, CO | ALPHARETTA, GA

n/a

Monica Ladson

n/a

ALPHARETTA, GA

n/a

Roxane Sue Dimon

Certified Financial Planner

ALPHARETTA, GA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

NICKENS, STACEY, ANN

CHIEF INVESTMENT OFFICER/ PRESIDENT/MEMBER

yes

02/2006

Jun 29, 2022

Jul 23, 2024

Nickens, Margaret

CHIEF COMPLIANCE OFFICER

06/2022

Jun 29, 2022

Jul 23, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ELM3 CPA TAX & ACCOUNTING, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 19, 2026

$189M

$183M

n/a

2024

Apr 2, 2025

$159M

n/a

2023

Mar 15, 2024

$137M

$136M

n/a

2022

Mar 23, 2023

$107M

$106M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$189M

$159M

18.8%

$107M

21.0%