Elm3 Financial Group, LLC

Registered adviser

CIK

2011201

Location

ALPHARETTA, GA

Portfolio Value

Small $131,699,967

Diversification

Diversified

Filing Date

Global Rank

#7,531 / 8,819 ▲ 215 · as of Jun 2026

Top Industry

Semiconductors 23.4%

Period ended 29 days ago

Filed Oct 7, 2026 · 22d

8 quarters · since Dec 2024

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 140594

Roster of Oct 1, 2026

Regulatory AUM

$189,038,143

Main clients

Individuals and high net worth (99% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Mar 2026 to Oct 2026	$189,038,143	Individuals and high net worth (99%)
Mar 2025 to Feb 2026	$159,125,234	Individuals and high net worth (100%)
Apr 2024 to Feb 2025	$137,056,970	Individuals and high net worth (100%)
May 2023 to Mar 2024	$106,820,681	Individuals and high net worth (100%)
Apr 2023	$106,820,681	Individuals and high net worth (100%)
Sep 2022 to Mar 2023	$135,379,323	Individuals and high net worth (100%)

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Diversified active

Top 10 weight 47.2%, 32.7 effective positions, active share 66.9% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

23.3% over the last four quarters (under 30%)

Horizon

Medium horizon

Value-weighted holding period 5.9 quarters (4 to under 12)

Closest benchmark: every 13F filer's combined book, active share 66.9%; sector active share 37.1% against the combined 13F book's sector weights.

Over time 7 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

148 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

8.3%

+2.0 pts

Top 5

30.5%

+0.9 pts

Top 10

48.5%

+1.2 pts

HHI

326

Diversified+19

Portfolio Trend

8 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	47.4%	$62,376,610	87
Technology	23.3%	$30,665,792	16
Consumer Cyclical	7.7%	$10,117,431	3
Financial Services	6.0%	$7,894,686	18
Healthcare	5.0%	$6,594,546	5
Industrials	4.8%	$6,273,078	9
Communication Services	3.5%	$4,593,334	4
Energy	1.7%	$2,233,096	4
Consumer Defensive	0.5%	$618,120	1
Utilities	0.3%	$333,274	1

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
SCYB	Schwab High Yield Bond ETF	+44,258	137,835	$3,478,955
FLDR	Fidelity Low Duration Bond Factor ETF	+14,101	37,351	$1,858,301
PHK	Pimco High Income Fund	+8,109	272,684	$1,118,004
VUSB	VANGUARD ULTRA-SHORT BOND ETF	+4,630	20,385	$1,010,076
APH	Amphenol Corp	+4,313	6,333	$533,871
ICSH	iShares Ultra Short Duration Bond Active ETF	+4,113	9,678	$487,771
BKSE	BNY Mellon US Small Cap Core Equity ETF	+3,590	5,412	$224,814
FHLC	Fidelity MSCI Health Care Index ETF	+3,201	13,476	$1,100,989
—		+2,018	7,535	$0
CGDV	Capital Group Dividend Value ETF	+1,866	29,398	$1,436,092
XBI	State Street(R) SPDR(R) S&P(R) Biotech ETF	+1,744	4,407	$694,895
EWT	iShares MSCI Taiwan ETF	+1,527	13,894	$1,568,632
EWY	iShares Trust	+1,378	12,354	$0
FFGX	Fidelity Fundamental Global ex US ETF	+1,308	15,734	$533,126
CRWD	CrowdStrike Holdings, Inc.	+1,183	1,498	$396,595
ANET	Arista Networks, Inc.	+1,014	3,494	$711,343
—		+955	10,178	$0
IPO	Renaissance Capital Greenwich Funds	+870	6,396	$336,557
JCPB	JPMorgan Core Plus Bond ETF	+794	9,772	$437,590
SCHD	Schwab U.S. Dividend Equity ETF	+773	12,821	$417,067
MPC	Marathon Petroleum Corp	+720	2,151	$850,548
—		+619	1,949	$0
SNDK	Sandisk Corp	+517	688	$1,197,044
VBIL	Vanguard Institutional Index Funds	+450	10,270	$777,644
GFLW	VictoryShares Free Cash Flow Growth ETF	+389	18,716	$625,301
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
PTY	Pimco Corporate & Income Opportunity Fund	−105,716	35,248	$388,080
THYF	T. Rowe Price U.S. High Yield ETF	−20,091	9,402	$468,219
PDI	PIMCO Dynamic Income Fund	−14,894	113,980	$1,599,139
PCN	Pimco Corporate & Income Strategy Fund	−6,850	25,736	$274,603
PFL	Pimco Income Strategy Fund	−3,275	19,252	$132,838
ICLO		−2,911	125,405	$3,209,113
FELG	Fidelity Enhanced Large Cap Growth ETF	−2,300	17,286	$779,425
SPHY	State Street(R) SPDR(R) Portfolio High Yield Bond ETF	−2,168	104,194	$2,353,742
MTUM	iShares MSCI USA Momentum Factor ETF	−1,975	8,280	$2,627,575
PFN	PIMCO Income Strategy Fund II	−1,763	29,233	$182,413
FBCG	Fidelity Covington Trust	−1,689	10,567	$667,940
UTES	Virtus Reaves Utilities ETF	−1,619	10,657	$747,908
DPG	Duff & Phelps Utility & Infrastructure Fund Inc.	−1,556	30,243	$387,715
NVDA	Nvidia Corp	−1,396	39,022	$8,911,844
CLIP	Global X 1-3 Month T-Bill ETF	−1,235	27,507	$2,760,052
FDEV	Fidelity International Multifactor ETF	−1,103	37,258	$1,345,013
FCUS	Pinnacle Focused Opportunities ETF	−946	9,745	$412,145
HD	Home Depot, Inc.	−927	2,197	$625,024
IFRA	iShares U.S. Infrastructure ETF	−886	17,225	$947,891
AVGO	Broadcom Inc.	−745	15,673	$5,504,200
XMMO	Victory Portfolios II	−705	21,071	$0
GDE	WisdomTree Efficient Gold Plus Equity Strategy Fund	−495	10,028	$0
MOD	Modine Manufacturing Co	−478	1,785	$334,152
EFO	ProShares Ultra MSCI EAFE	−469	3,408	$243,194
PAVE	Global X U.S. Infrastructure Development ETF	−426	9,301	$488,302
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
FCPI	Fidelity Stocks for Inflation ETF	22,684	$1,270,304
BLK	BlackRock, Inc.	930	$984,209
MU	Micron Technology Inc	796	$847,827
PWR	Quanta Services, Inc.	1,260	$809,562
MGK	VANGUARD MEGA CAP GROWTH INDEX FUND	6,015	$557,289
AMGN	Amgen Inc	1,259	$530,681
PSX	Phillips 66	2,075	$529,768
NTRS	Northern Trust Corp	3,057	$517,733
COF	Capital One Financial Corp	2,614	$504,684
LDRC	iShares iBonds 1-5 Year Corporate Ladder ETF	19,589	$482,575
IGSB	iShares 1-5 Year Investment Grade Corporate Bond ETF	9,035	$462,863
ABBV	AbbVie Inc.	1,717	$449,150
ISRG	Intuitive Surgical Inc	1,060	$431,027
GDX	VanEck Gold Miners ETF	4,782	$419,859
NFLX	Netflix Inc	5,972	$415,531
BNY	Bank of New York Mellon Corp	2,725	$394,116
SPIB	State Street(R) SPDR(R) Portfolio Intermediate Term Corporate Bond ETF	11,212	$361,923
SLV	iShares Silver Trust	6,312	$344,067
FENY	Fidelity MSCI Energy Index ETF	9,815	$332,728
GLW	Corning Inc	2,156	$331,506
STT	State Street Corp	1,699	$296,628
XTWO	BondBloxx Bloomberg Two Year Target Duration US Treasury ETF	6,117	$295,695
SCHO	Schwab Short-Term U.S. Treasury ETF	11,246	$268,329
DBMF	iMGP DBI Managed Futures Strategy ETF	6,648	$216,259
GLD	Spdr Gold Trust	564	$214,793
No positions match the current search.

Sold Out

Positions the filer fully exited

12 positions

Ticker	Company	Shares	Value
WRB	Berkley W R Corp	21,679	$1,529,019
PGR	Progressive Corp	3,823	$835,134
BRLN		14,312	$728,480
ACGL	Arch Capital Group Ltd.	4,144	$402,216
ATO	Atmos Energy Corp	2,032	$350,052
QGRW	WisdomTree U.S. Quality Growth Fund	3,883	$256,394
UPV	ProShares Ultra FTSE Europe	2,391	$236,254
FIX	Comfort Systems USA Inc	116	$229,906
SPEM	State Street(R) SPDR(R) Portfolio Emerging Markets ETF	4,363	$225,916
DTCR	Global X Data Center & Digital Infrastructure ETF	6,932	$210,524
VGK	VANGUARD EUROPEAN STOCK INDEX FUND	2,332	$206,475
BIT	BlackRock Multi-Sector Income Trust	14,976	$187,499
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

148 tracked positions · $131,699,967 total · filing declares 148 positions · $152,762,427 · as of Sep 30, 2026

All sectors Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Technology Utilities

Showing 1–50 of 148 positions by value · page 1 of 3

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	36,758	-128	$9,158,255	+4.2%	6.95%
NVDA	Nvidia Corp Technology	Reduced	39,022	-1,396	$8,911,844	+10.2%	6.77%
AVGO	Broadcom Inc. Technology	Reduced	15,673	-745	$5,504,200	−11.2%	4.18%
LLY	ELI LILLY & Co Healthcare	Added	4,204	+152	$4,864,364	+0.1%	3.69%
MSFT	Microsoft Corp Technology	Reduced	9,390	-303	$4,816,131	+33.2%	3.66%
QQQ	Invesco Qqq Trust, Series 1	Reduced	6,093	-404	$4,507,418	−5.8%	3.42%
AAPL	Apple Inc. Technology	Reduced	12,292	-365	$4,093,481	+11.8%	3.11%
SCYB	Schwab High Yield Bond ETF	Added	137,835	+44,258	$3,478,955	+42.0%	2.64%
ICLO		Reduced	125,405	-2,911	$3,209,113	−2.2%	2.44%
GOOGL	Alphabet Inc. Communication Services	Reduced	8,380	-214	$2,883,390	−6.1%	2.19%
CLIP	Global X 1-3 Month T-Bill ETF	Reduced	27,507	-1,235	$2,760,052	−4.3%	2.10%
MTUM	iShares MSCI USA Momentum Factor ETF	Reduced	8,280	-1,975	$2,627,575	−25.3%	2.00%
SPHY	State Street(R) SPDR(R) Portfolio High Yield Bond ETF	Reduced	104,194	-2,168	$2,353,742	−5.6%	1.79%
FTEC	Fidelity MSCI Information Technology Index ETF	Reduced	7,451	-158	$2,235,747	+2.9%	1.70%
FLDR	Fidelity Low Duration Bond Factor ETF	Added	37,351	+14,101	$1,858,301	+59.5%	1.41%
HWM	Howmet Aerospace Inc. Industrials	Reduced	7,573	-118	$1,712,861	−17.2%	1.30%
PDI	PIMCO Dynamic Income Fund Financial Services	Reduced	113,980	-14,894	$1,599,139	−25.7%	1.21%
EWT	iShares MSCI Taiwan ETF	Added	13,894	+1,527	$1,568,632	+16.8%	1.19%
SMH	VanEck Semiconductor ETF	Reduced	2,361	-20	$1,437,849	−7.9%	1.09%
CGDV	Capital Group Dividend Value ETF	Added	29,398	+1,866	$1,436,092	+5.8%	1.09%
FDEV	Fidelity International Multifactor ETF	Reduced	37,258	-1,103	$1,345,013	−1.2%	1.02%
STRL	Sterling Infrastructure, Inc. Industrials	Reduced	2,662	-67	$1,309,118	−42.8%	0.99%
VB	Vanguard Index Funds	Reduced	4,589	-42	$1,305,524	−7.0%	0.99%
FCPI	Fidelity Stocks for Inflation ETF	NEW	22,684	NEW	$1,270,304	NEW	0.96%
VO	VANGUARD MID-CAP INDEX FUND	Reduced	15,738	-110	$1,234,173	−3.3%	0.94%
SNDK	Sandisk Corp Technology	Added	688	+517	$1,197,044	+207.9%	0.91%
PHK	Pimco High Income Fund Financial Services	Added	272,684	+8,109	$1,118,004	−9.3%	0.85%
FHLC	Fidelity MSCI Health Care Index ETF	Added	13,476	+3,201	$1,100,989	+38.7%	0.84%
LONZ		Added	22,182	+222	$1,090,245	+0.7%	0.83%
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	Reduced	2,850	-3	$1,066,584	+1.0%	0.81%
VUSB	VANGUARD ULTRA-SHORT BOND ETF	Added	20,385	+4,630	$1,010,076	+28.8%	0.77%
VBK	VANGUARD SMALL-CAP GROWTH INDEX FUND	Reduced	2,961	-96	$1,000,314	−10.5%	0.76%
BLK	BlackRock, Inc. Financial Services	NEW	930	NEW	$984,209	NEW	0.75%
KLAC	Kla Corp Technology	Reduced	4,895	-355	$954,182	−39.8%	0.72%
IFRA	iShares U.S. Infrastructure ETF	Reduced	17,225	-886	$947,891	−17.0%	0.72%
PANW	Palo Alto Networks Inc Technology	Reduced	2,301	-217	$914,210	+6.5%	0.69%
FEMR	Fidelity Enhanced Emerging Markets ETF	Reduced	21,820	-241	$898,111	−4.4%	0.68%
JQUA	JPMorgan U.S. Quality Factor ETF	Added	12,101	+203	$893,053	+3.8%	0.68%
MPC	Marathon Petroleum Corp Energy	Added	2,151	+720	$850,548	+132.5%	0.65%
MU	Micron Technology Inc Technology	NEW	796	NEW	$847,827	NEW	0.64%
PWR	Quanta Services, Inc. Industrials	NEW	1,260	NEW	$809,562	NEW	0.61%
FELG	Fidelity Enhanced Large Cap Growth ETF	Reduced	17,286	-2,300	$779,425	−9.0%	0.59%
VBIL	Vanguard Institutional Index Funds	Added	10,270	+450	$777,644	+4.6%	0.59%
UTES	Virtus Reaves Utilities ETF	Reduced	10,657	-1,619	$747,908	−25.5%	0.57%
TSM	Taiwan Semiconductor Manufacturing Co Ltd Technology	Reduced	1,635	-194	$745,870	−14.6%	0.57%
ANET	Arista Networks, Inc. Technology	Added	3,494	+1,014	$711,343	+68.8%	0.54%
XBI	State Street(R) SPDR(R) S&P(R) Biotech ETF	Added	4,407	+1,744	$694,895	+64.9%	0.53%
EPOL	iShares MSCI Poland ETF	Reduced	15,678	-54	$694,848	+14.4%	0.53%
VTWG	VANGUARD RUSSELL 2000 GROWTH INDEX FUND	Reduced	2,616	-86	$681,677	−12.3%	0.52%
FBCG	Fidelity Covington Trust	Reduced	10,567	-1,689	$667,940	−12.3%	0.51%

Showing the top 50 of 148 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.