DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
E••• F•••••••• G••••• L••
Latest filing Jun 8, 2026
First filing on the tape Jun 29, 2022 · 19 filings
SEC status approved since Aug 3, 2022
RAUM
$189M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$188M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$47.3M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$189M as of Jun 8, 2026
Mar 23, 2023$107M then
HNW client RAUM$135M as of Jun 8, 2026
Mar 23, 2023$57.3M then
State-registered IARs (5.B.3)4 as of Jun 8, 2026
Mar 23, 20232 then
Employees (5.A)6 as of Jun 8, 2026
Mar 23, 20233 then
Private funds: no history
RAUM +19% over the last fiscal year+21% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Jun 8, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $63.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $277,997derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $12.1M, 33 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$135M71%
- Individuals$52.7M28%
- Corporations and businesses$1.5M0.8%
- Individual clients
- 216reported
- HNW clients
- 66reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 680reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.1M for 33 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• A•• N••••••Certified Financial Planner | Alpharetta, Ga | Aug 21, 2006 | 21 y | 0 |
| M••••••• N••••••Certified Financial Planner | Commerce City, Co | Mar 2, 2022 | 10 y | 0 |
| M••••• L••••• | Alpharetta, Ga | Dec 16, 2025 | 9 y | 0 |
| R••••• S•• D••••Certified Financial Planner | Alpharetta, Ga | Jun 23, 2026 | 23 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- C•••••••• M•••• M••••• to A••••• P••••••• P•••••••• L••Feb 23, 2018 · RIA to a state-registered adviser
Joined, latest
- R••••• S•• D•••• from Y••• R••••••••• C••••Jun 23, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• S•••••• A•• · Chief Investment Officer/ President/Membercontrolsince 02/2006 · owns 75% or more
- N••••••• M••••••• · Chief Compliance Officersince 06/2022 · owns less than 5%
Related persons
Schedule D 7.A
- E••• C•• T•• • A••••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alpharetta, Ga · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4May 15, 2026 to Jun 8, 2026
- Employees · 5 to 6May 15, 2026 to Jun 8, 2026
- State-registered IARs · 3 to 4May 15, 2026 to Jun 8, 2026
- Insurance-licensed employees · 0 to 1Feb 19, 2026 to May 15, 2026
- Related adviser · false to trueFeb 19, 2026 to May 15, 2026
- Accounts · 631 to 680Jan 5, 2026 to Feb 19, 2026
- Corporate clients · 4 to 5Jan 5, 2026 to Feb 19, 2026
- HNW clients · 54 to 66Jan 5, 2026 to Feb 19, 2026
- Assets in custody · $11.3M to $12.1MJan 5, 2026 to Feb 19, 2026
- Financial planning clients · 11-25 to 26-50Jan 5, 2026 to Feb 19, 2026
- Discretionary RAUM · $159M to $183MJan 5, 2026 to Feb 19, 2026
- HNW RAUM · $104M to $135MJan 5, 2026 to Feb 19, 2026
- Individual RAUM · $54.9M to $52.7MJan 5, 2026 to Feb 19, 2026
- Non-discretionary RAUM · $120,113 to $6.0MJan 5, 2026 to Feb 19, 2026
- RAUM · $159M to $189MJan 5, 2026 to Feb 19, 2026
- Advisory employees · 2 to 3Jul 16, 2025 to Jan 5, 2026
- State-registered IARs · 2 to 3Jul 16, 2025 to Jan 5, 2026
- Financial planning clients · 11-25 to 11-25Apr 2, 2025 to Jul 16, 2025
- Accounts · 609 to 631Jan 31, 2025 to Feb 18, 2025
- Individual clients · 206 to 216Jan 31, 2025 to Feb 18, 2025
- Assets in custody · $8.6M to $11.3MJan 31, 2025 to Feb 18, 2025
- Discretionary RAUM · $136M to $159MJan 31, 2025 to Feb 18, 2025
- HNW RAUM · $92.1M to $104MJan 31, 2025 to Feb 18, 2025
- Individual RAUM · $44.6M to $54.9MJan 31, 2025 to Feb 18, 2025
- Non-discretionary RAUM · $878,280 to $120,113Jan 31, 2025 to Feb 18, 2025
- RAUM · $137M to $159MJan 31, 2025 to Feb 18, 2025
- Accounts · 604 to 609Feb 9, 2024 to Mar 15, 2024
- Charity clients · unset to 0.0Feb 9, 2024 to Mar 15, 2024
- Corporate clients · unset to 4.0Feb 9, 2024 to Mar 15, 2024
- HNW clients · 40 to 54Feb 9, 2024 to Mar 15, 2024
- Individual clients · 212 to 206Feb 9, 2024 to Mar 15, 2024
- Assets in custody · $23.9M to $8.6MFeb 9, 2024 to Mar 15, 2024
- Discretionary RAUM · $106M to $136MFeb 9, 2024 to Mar 15, 2024
- HNW RAUM · $57.3M to $92.1MFeb 9, 2024 to Mar 15, 2024
- Individual RAUM · $49.1M to $44.6MFeb 9, 2024 to Mar 15, 2024
- Non-discretionary RAUM · $842,199 to $878,280Feb 9, 2024 to Mar 15, 2024
- RAUM · $107M to $137MFeb 9, 2024 to Mar 15, 2024
- Employees · 7 to 5Dec 14, 2023 to Feb 9, 2024
- Employees · 4 to 7Oct 10, 2023 to Dec 5, 2023
- Employees · 3 to 4Aug 11, 2023 to Oct 10, 2023
Signals
2 dated events
- R••••• S•• D•••• no longer holds an investment adviser registration (last listed at E••• F•••••••• G••••• L•• on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- E••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- client.services@elm3financial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 678-297-9500reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/elm3-financial-group-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- E•••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 678-297-9500reportedpublic record, Form ADV, Jun 8, 2026
- Contact form
- elm3financial.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $47.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026