The Ellerson Group provides financial planning, portfolio management for individuals and small businesses, selecting other managers, education planning, estate planning, insurance, and tax planning. Financial planning was provided to 51–100 clients last fiscal year.
The Ellerson Group reports 109 clients. They include 62 high-net-worth individuals and 47 individual clients. Of its assets, 100.0% ($291M across 109 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 43% | 5% |
| High-net-worth individuals | 57% | 95% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 47 | $15.3M | 5.2% | $325K |
| High-net-worth individuals | 62 | $276M | 94.8% | $4.45M |
| Total | 109 | $291M | 100% | $2.67M |
- Clients
- 47
- Regulatory AUM
- $15.3M
- AUM share
- 5.2%
- Avg. per client
- $325K
- Clients
- 62
- Regulatory AUM
- $276M
- AUM share
- 94.8%
- Avg. per client
- $4.45M
Total
- Clients
- 109
- Regulatory AUM
- $291M
- AUM share
- 100%
- Avg. per client
- $2.67M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
The Ellerson Group charges 0.50%–1.50% a year for its Advisory Service Agreement. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable, has a $7,500 annual minimum and requires an account of at least $1,000,000. The brochure also prices one other service, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$500K | 1.50% |
| $500K–$1M | 1.20% |
| $1M–$2M | 1.00% |
| $2M–$3M | 0.85% |
| $3M–$4M | 0.65% |
| $4M and above | 0.50% |
Fee details and sources
Other fees
- Hourly planning engagements
- Limited-scope hourly planning engagements are billed at $400 an hour, negotiable.
James Ellerson owns 75% or more of The Ellerson Group. The leadership team of The Ellerson Group includes President James Ellerson. It has 2 employees.
Leadership
- James EllersonPresident
- James EllersonChief Compliance Officer
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
- James Patteson Ellerson
- David Edward Sheiman
Staff
- 2 employees
- 2 in advisory functions
- Owns 75% or more of The Ellerson Group Inc
James Ellerson
Control person · since December 1994
The Ellerson Group’s regulatory assets grew 1.5× from $194M (March 2021) to $291M (March 2026); clients rose from 90 to 109 and employees fell from 4 to 2.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $291M | 109 | 2 | 1 |
| February 2025 | $261M | 105 | 2 | 1 |
| February 2024 | $234M | 104 | 2 | 1 |
| March 2023 | $202M | 103 | 4 | 1 |
| May 2022 | $221M | 100 | 4 | 1 |
| March 2021 | $194M | 90 | 4 | 1 |
Besides its headquarters, The Ellerson Group has 0 offices, with 1 listed address in Maryland.
Maryland · 1 listed address
- 415 Fourth Street, Suite 101, AnnapolisHQ
Contact and registration details
- Legal name
- The Ellerson Group Inc
- Headquarters
- 415 Fourth Street, Suite 101, Annapolis, MD 21403
- Website
- Not reported
- Phone
- 410-280-3103
- SEC file
- 801-48299
- Founded
- 1995
- Structure
- Maryland corporation
- Fiscal year end
- December
The Ellerson Group does not have custody of client assets.
At year end, The Ellerson Group’s separately managed accounts were mostly in stocks (53%) and funds (18%). Its reported 13F holdings for the quarter ended 30 June 2026 total $169M across 64 positions; the largest are Nvidia Corporation (11.1%), Apple Inc. (6.8%) and Palantir Technologies Inc. (5.4%).
What the accounts hold
- Stocks53%
- Funds18%
- Registered funds17%
- Pooled vehicles1%
- Bonds11%
- U.S. government and agency bonds9%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash18%
Reported 13F holdings
- $169M
- Reported 13F value
- 64
- Positions
- 50.3%
- In the 10 largest
- +10.9%
- Value vs. prior quarter
- Nvidia Corporation11.1%
- Apple Inc.6.8%
- Palantir Technologies Inc. · CL A5.4%
- Alphabet Inc. · Cap Stk CL C5.0%
- ASML Hldg NV · N Y Registry Shs4.9%
- Palo Alto Networks Inc.4.5%
- Pinnacle Finl Partners Inc.3.3%
- Invesco Qqq TR · Unit Ser 13.1%
- Oracle Corp.3.1%
- Regeneron Pharmaceuticals3.1%
Together, the ten largest are 50.3% of reported value.
How many clients does The Ellerson Group have?
The Ellerson Group has 109 clients and manages $291 million for them, as of March 2026. They include 62 high-net-worth individuals and 47 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 13 March 2026
What services does The Ellerson Group offer?
The Ellerson Group provides financial planning, portfolio management for individuals and small businesses, selecting other managers, education planning, estate planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does The Ellerson Group charge?
The Ellerson Group charges 0.50%–1.50% a year for its Advisory Service Agreement. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable, has a $7,500 annual minimum and requires an account of at least $1,000,000.
How many financial advisors does The Ellerson Group have?
The Ellerson Group has 0 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does The Ellerson Group invest in?
At the end of its last fiscal year, The Ellerson Group’s separately managed accounts held 53% exchange-traded equities, 18% cash and equivalents, 17% registered funds (mutual funds, ETFs, BDCs), 9% U.S. government and agency bonds, 1% state and local bonds, 1% investment grade corporate bonds and 1% pooled vehicles (private funds and similar).
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does The Ellerson Group have a minimum investment?
Yes, The Ellerson Group’s minimum account size for its Advisory Service Agreement is $1M. It charges a $7.5K annual minimum fee.
Who owns The Ellerson Group?
The Ellerson Group’s direct owner is James Ellerson (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 13 March 2026
How does The Ellerson Group get paid?
The Ellerson Group is paid through a percentage of assets under management and hourly charges. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is The Ellerson Group registered with the SEC?
Yes, The Ellerson Group has been registered with the SEC as an investment adviser since 21 February 1995. Its CRD number is 106658 and its SEC file number is 801-48299.
Source: Form ADV Part 1A, Item 1, filed 13 March 2026; IAPD firm record
How do I contact The Ellerson Group?
The Ellerson Group’s main office is at 415 Fourth Street, Suite 101, Annapolis, MD 21403. Its phone number is 410-280-3103.