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Elm3 Financial Group, LLC — 13F Holdings & Portfolio

CIK 2011201 · latest 13F-HR filed 2026-10-07

Backtest portfolio

Elm3 Financial Group, LLC manages $149.9M in 13F-reported U.S. long-equity assets across 150 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are AMZN (6.11%), NVDA (5.95%), AVGO (3.67%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 27 new positions and exited 12; 30 existing positions rose in reported value and 55 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$149.9M

Long-equity book

Holdings
150

Distinct positions

Period
2026-09-30

Filed 2026-10-07

Q/Q Activity
+27 / −12 / ↑30 / ↓55

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26
AMZN6.1% · -0%NVDA5.9% · -4%AVGO3.7% · -4%LLY3.2% · +4%MSFT3.2% · -3%QQQM3.1% · +1%QQQ3.0% · -6%AAPL2.7% · -3%SCYB2.3% · +47%ICLO2.1% · -2%XMMO2.1% · -3%GOOGL1.9% · -2%CLIP1.8% · -4%MTUM1.8% · -19%SPHY1.6% · -2%EWY1.5% · +13%FTEC1.5% · -2%RSP1.3% · +2%FLDR1.2% · +61%HWM1.1% · -2%PDI1.1% · -12%EWT1.0% · +12%SMH1.0% · -1%CGDV1.0% · +7%FDEV0.9% · -3%STRL0.9% · -2%VB0.9% · -1%FCPI0.8% · newVO0.8% · -1%SNDK0.8% · +302%PHK0.7% · +3%FHLC0.7% · +31%LONZ0.7% · +1%PPA0.7% · +0%VTI0.7% · -0%VUSB0.7% · +29%VBK0.7% · -3%BLK0.7% · newKLAC0.6% · -7%IFRA0.6% · -5%PANW0.6% · -9%FEMR0.6% · -1%JQUA0.6% · +2%MPC0.6% · +50%MU0.6% · newPWR0.5% · newFELG0.5% · -12%VBIL0.5% · +5%UTES0.5% · -13%TSM0.5% · -11%IWY0.5% · -6%ANET0.5% · +41%XBI0.5% · +66%EPOL0.5% · -0%VTWG0.5% · -3%FBCG0.4% · -14%GOOG0.4% · -2%GDE0.4% · -5%META0.4% · -6%GFLW0.4% · +2%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 35.4%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Jun 8, 2026.

Assets Under Management
$189.0M
Discretionary
$183.0M
Employees
6
Accounts
680
Address
5755 NORTH POINT PKWY
SUITE 92
ALPHARETTA, GA 30022-1145
Phone
(678) 297-9500
Website
Name Title / Status Ownership Type
NICKENS, STACEY, ANN ControlCHIEF INVESTMENT OFFICER/ PRESIDENT/MEMBER
since Feb 2006
75% or moreIndividual
Nickens, Margaret ControlCHIEF COMPLIANCE OFFICER
since Jun 2022
Less than 5%Individual
Ownership & leadership changes · 1 filing with changes since Jun 29, 2022

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

May 15, 2026 filing
  • ChangedNickens, Margaret · now a control person
Jun 29, 2022 filing (earliest on record)
  • ListedNICKENS, STACEY, ANN · CHIEF INVESTMENT OFFICER/ PRESIDENT/MEMBER · 75% or more · control person
  • ListedNickens, Margaret · CHIEF COMPLIANCE OFFICER · Less than 5%

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Elm3 Financial Group, LLC Holdings (2026-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 AMAZON COM INC AMZN 023135106 $9.2M 6.11% 36,758 SH
2 NVIDIA CORPORATION NVDA 67066G104 $8.9M 5.95% 39,022 SH
3 BROADCOM INC AVGO 11135F101 $5.5M 3.67% 15,673 SH
4 ELI LILLY & CO LLY 532457108 $4.9M 3.24% 4,204 SH
5 MICROSOFT CORP MSFT 594918104 $4.8M 3.21% 9,390 SH
6 INVESCO EXCH TRADED FD TR II QQQM 46138G649 $4.6M 3.06% 15,060 SH
7 INVESCO QQQ TR QQQ 46090E103 $4.5M 3.01% 6,093 SH
8 APPLE INC AAPL 037833100 $4.1M 2.73% 12,292 SH
9 SCHWAB STRATEGIC TR SCYB 808524631 $3.5M 2.32% 137,835 SH
10 INVESCO ACTIVELY MANAGED EXC ICLO 46090A721 $3.2M 2.14% 125,405 SH
11 INVESCO EXCHANGE TRADED FD T XMMO 46137V464 $3.1M 2.06% 21,071 SH
12 ALPHABET INC GOOGL 02079K305 $2.9M 1.92% 8,380 SH
13 GLOBAL X FDS CLIP 37960A438 $2.8M 1.84% 27,507 SH
14 ISHARES TR MTUM 46432F396 $2.6M 1.75% 8,280 SH
15 SPDR SERIES TRUST SPHY 78468R606 $2.4M 1.57% 104,194 SH
16 ISHARES INC EWY 464286772 $2.3M 1.51% 12,354 SH
17 FIDELITY COVINGTON TRUST FTEC 316092808 $2.2M 1.49% 7,451 SH
18 INVESCO EXCHANGE TRADED FD T RSP 46137V357 $2.0M 1.30% 9,379 SH
19 FIDELITY MERRIMACK STR TR FLDR 316188408 $1.9M 1.24% 37,351 SH
20 HOWMET AEROSPACE INC HWM 443201108 $1.7M 1.14% 7,573 SH
21 PIMCO DYNAMIC INCOME FD PDI 72201Y101 $1.6M 1.07% 113,980 SH
22 ISHARES INC EWT 46434G772 $1.6M 1.05% 13,894 SH
23 VANECK ETF TRUST SMH 92189F676 $1.4M 0.96% 2,361 SH
24 CAPITAL GROUP DIVIDEND VALUE CGDV 14020W106 $1.4M 0.96% 29,398 SH
25 FIDELITY COVINGTON TRUST FDEV 316092535 $1.3M 0.90% 37,258 SH
26 STERLING INFRASTRUCTURE INC STRL 859241101 $1.3M 0.87% 2,662 SH
27 VANGUARD INDEX FDS VB 922908751 $1.3M 0.87% 4,589 SH
28 FIDELITY COVINGTON TRUST FCPI 316092386 $1.3M 0.85% 22,684 SH
29 VANGUARD INDEX FDS VO 922908629 $1.2M 0.82% 15,738 SH
30 SANDISK CORP SNDK 80004C200 $1.2M 0.80% 688 SH
31 PIMCO HIGH INCOME FD PHK 722014107 $1.1M 0.75% 272,684 SH
32 FIDELITY COVINGTON TRUST FHLC 316092600 $1.1M 0.73% 13,476 SH
33 PIMCO ETF TR LONZ 72201R627 $1.1M 0.73% 22,182 SH
34 INVESCO EXCHANGE TRADED FD T PPA 46137V100 $1.1M 0.72% 6,981 SH
35 VANGUARD INDEX FDS VTI 922908769 $1.1M 0.71% 2,850 SH
36 VANGUARD BD INDEX FDS VUSB 92203C303 $1.0M 0.67% 20,385 SH
37 VANGUARD INDEX FDS VBK 922908595 $1.0M 0.67% 2,961 SH
38 BLACKROCK INC BLK 09290D101 $984.3K 0.66% 930 SH
39 KLA CORP KLAC 482480100 $954.2K 0.64% 4,895 SH
40 ISHARES TR IFRA 46435U713 $947.9K 0.63% 17,225 SH
41 PALO ALTO NETWORKS INC PANW 697435105 $914.2K 0.61% 2,301 SH
42 FIDELITY COVINGTON TRUST FEMR 31609A800 $898.1K 0.60% 21,820 SH
43 J P MORGAN EXCHANGE TRADED F JQUA 46641Q761 $893.1K 0.60% 12,101 SH
44 MARATHON PETE CORP MPC 56585A102 $850.6K 0.57% 2,151 SH
45 MICRON TECHNOLOGY INC MU 595112103 $847.8K 0.57% 796 SH
46 QUANTA SVCS INC PWR 74762E102 $809.6K 0.54% 1,260 SH
47 FIDELITY COVINGTON TRUST FELG 31609A305 $779.4K 0.52% 17,286 SH
48 VANGUARD INSTL INDEX FD VBIL 922040845 $777.7K 0.52% 10,270 SH
49 ETFIS SER TR I UTES 26923G806 $747.9K 0.50% 10,657 SH
50 TAIWAN SEMICONDUCTOR MANUFAC TSM 874039100 $745.9K 0.50% 1,635 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-10-07 $149.9M 150 0002011201-26-000005
2026-06-30 2026-07-29 $146.0M 135 0002011201-26-000003
2026-03-31 2026-04-13 $118.4M 117 0002011201-26-000002
2025-12-31 2026-01-22 $120.6M 113 0002011201-26-000001
Filer Information
Address
5755 NORTH POINT PARKWAY
SUITE 92
ALPHARETTA, GA 30022
Phone
(678) 297-9500
Filing Manager
Elm3 Financial Group, LLC
ALPHARETTA, GA
Signatory
Margaret Nickens
Chief Compliance Officer