Sycamore Financial Group provides financial planning and portfolio management for individuals and small businesses. Financial planning was provided to 251–500 clients last fiscal year.
Sycamore Financial Group reports 1,146 clients. They include 950 individual clients, 186 high-net-worth individuals and 10 charitable organizations. Of its assets, 93.0% ($732M across 1,917 accounts) are managed with discretion; $55M across 283 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 83% | 25% |
| High-net-worth individuals | 16% | 73% |
| Charitable organizations | <1% | 2% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 950 | $199M | 25.3% | $210K |
| High-net-worth individuals | 186 | $573M | 72.8% | $3.08M |
| Charitable organizations | 10 | $15M | 1.9% | $1.5M |
| Total | 1,146 | $787M | 100% | $687K |
- Clients
- 950
- Regulatory AUM
- $199M
- AUM share
- 25.3%
- Avg. per client
- $210K
- Clients
- 186
- Regulatory AUM
- $573M
- AUM share
- 72.8%
- Avg. per client
- $3.08M
- Clients
- 10
- Regulatory AUM
- $15M
- AUM share
- 1.9%
- Avg. per client
- $1.5M
Total
- Clients
- 1,146
- Regulatory AUM
- $787M
- AUM share
- 100%
- Avg. per client
- $687K
- 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
- 251–500
Sycamore Financial Group is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Craig Allen Smith owns 75% or more of Sycamore Financial Group. The leadership team of Sycamore Financial Group includes President Anita Lynn Faulkner and Chief Compliance Officer Craig Allen Smith. It has 4 employees.
Leadership
- Anita Lynn FaulknerVice President/Secretary
- Craig Allen SmithPresident/Treasurer/Chief Compliance Officer
- Phillip F SmithNon-Registered Owner
- Alec F SmithNon-Registered Owner
Investment adviser representatives
4 representatives listed in the SEC register as of 9 October 2026.
- Brent Alan Yard JR
Staff
- 4 employees
- 4 in advisory functions
- 4 state-registered reps
- 4 broker-dealer reps
- 1 insurance agent
- Owns 75% or more of Sycamore Financial Group, Inc.
Craig Allen Smith
Control person · since August 1983
- Owns 5% to 10% of Sycamore Financial Group, Inc.
Phillip F Smith
since June 1987
- Owns 5% to 10% of Sycamore Financial Group, Inc.
Alec F Smith
since June 1987
Sycamore Financial Group’s regulatory assets grew from $536M (June 2021) to $787M (March 2026); clients rose from 943 to 1,146 and employees were 4 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $787M | 1,146 | 4 | 3 |
| March 2025 | $681M | 912 | 4 | 3 |
| June 2024 | $666M | 876 | 4 | 3 |
| February 2023 | $573M | 901 | 4 | 3 |
| March 2022 | $582M | 1,203 | 4 | 3 |
| June 2021 | $536M | 943 | 4 | 3 |
Besides its headquarters, Sycamore Financial Group has 2 offices (2 private residences, listed without an address), with 1 listed address in Indiana.
Indiana · 1 listed address
- 2713 Rockford Lane, KokomoHQ
Contact and registration details
- Legal name
- Sycamore Financial Group, Inc.
- Headquarters
- 2713 Rockford Lane, Kokomo, IN 46902
- Website
- sycamoreweb.com
- Phone
- 765-455-1554
- SEC file
- 801-62788
- Structure
- Indiana corporation
- Fiscal year end
- December
Sycamore Financial Group does not have custody of client assets.
At year end, Sycamore Financial Group’s separately managed accounts were mostly in stocks (89%) and funds (11%).
What the accounts hold
- Stocks89%
- Funds11%
How many clients does Sycamore Financial Group have?
Sycamore Financial Group has 1,146 clients and manages $787 million for them, as of March 2026. They include 950 individual clients, 186 high-net-worth individuals and 10 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 13 March 2026
What services does Sycamore Financial Group offer?
Sycamore Financial Group provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How many financial advisors does Sycamore Financial Group have?
Sycamore Financial Group has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. 4 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Sycamore Financial Group invest in?
At the end of its last fiscal year, Sycamore Financial Group’s separately managed accounts held 89% exchange-traded equities and 11% registered funds (mutual funds, ETFs, BDCs).
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Sycamore Financial Group?
Sycamore Financial Group’s direct owners are Craig Allen Smith (75% or more), Phillip F Smith (5% to 10%) and Alec F Smith (5% to 10%).
Source: Form ADV Part 1A, Schedules A and B, filed 13 March 2026
How does Sycamore Financial Group get paid?
Sycamore Financial Group is paid through a percentage of assets under management. 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 Sycamore Financial Group registered with the SEC?
Yes, Sycamore Financial Group has been registered with the SEC as an investment adviser since 27 February 2004. Its CRD number is 14143 and its SEC file number is 801-62788.
Source: Form ADV Part 1A, Item 1, filed 13 March 2026; IAPD firm record
How do I contact Sycamore Financial Group?
Sycamore Financial Group’s main office is at 2713 Rockford Lane, Kokomo, IN 46902. Its phone number is 765-455-1554. Its website is sycamoreweb.com.