{"url":"https://nivawealth.com/firms/sycamore-financial-group-14143","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/14143","regulatoryAum":787411448,"crd":"14143","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8188757","suffix":null,"lastName":"Matthes","firstName":"Frederick","middleName":"Albert"},{"crd":"5239290","suffix":null,"lastName":"RUMSCHIK","firstName":"ALLISON","middleName":"TYMINSKI"},{"crd":"810191","suffix":null,"lastName":"SMITH","firstName":"CRAIG","middleName":"ALLEN"},{"crd":"6654799","suffix":"JR","lastName":"Yard","firstName":"Brent","middleName":"Alan"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-06-29","regulatoryAum":536244000,"clients":943,"employees":4,"offices":3},{"filedOn":"2022-03-14","regulatoryAum":582414332,"clients":1203,"employees":4,"offices":3},{"filedOn":"2023-02-23","regulatoryAum":573132761,"clients":901,"employees":4,"offices":3},{"filedOn":"2024-06-04","regulatoryAum":665628767,"clients":876,"employees":4,"offices":3},{"filedOn":"2025-03-26","regulatoryAum":681079389,"clients":912,"employees":4,"offices":3},{"filedOn":"2026-03-13","regulatoryAum":787411448,"clients":1146,"employees":4,"offices":3}],"secFileNumber":"801-62788","legalName":"Sycamore Financial Group, Inc.","displayName":"Sycamore Financial Group","slug":"sycamore-financial-group-14143","website":"https://sycamoreweb.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/14143/c625046f8bd74a8b-r1.webp","tone":"light","width":916,"height":200,"sourceUrl":"http://sycamoreweb.com/","sourceLabel":"Sycamore Financial Group, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Indiana corporation","fiscalYearEnd":"December","headquarters":{"street":"2713 Rockford Lane","city":"Kokomo","state":"IN","stateName":"Indiana","country":"United States","postalCode":"46902"},"tradeNames":[],"registration":{"secApproved":"27 February 2004","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":679959.4480633803,"staff":{"employees":4,"advisory":4,"brokerDealerReps":4,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":787411448,"discretionary":732449845,"discretionaryAccounts":1917,"nonDiscretionary":54961603,"nonDiscretionaryAccounts":283,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":950,"regulatoryAum":199183480},{"label":"High-net-worth individuals","clients":186,"regulatoryAum":573250453},{"label":"Charitable organizations","clients":10,"regulatoryAum":14977515}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T05:46:55.869145+00:00","documents":[{"name":"FORM ADV PART 2AB SYCAMORE FINANCIAL GROUP","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018682","versionId":1018682,"submittedOn":"2026-03-13"}]},"custodians":[],"custodyNote":"Sycamore Financial Group does not have custody of client assets.","leadership":[{"name":"Anita Lynn Faulkner","title":"Vice President/Secretary","crd":"1575683"},{"name":"Craig Allen Smith","title":"President/Treasurer/Chief Compliance Officer","crd":"810191"},{"name":"Phillip F Smith","title":"Non-Registered Owner","crd":"6395438"},{"name":"Alec F Smith","title":"Non-Registered Owner","crd":"6395553"}],"ownership":[{"label":"Craig Allen Smith","detail":"President/treasurer/chief compliance officer in the 75% or more ownership band and a control person, since August 1983."},{"label":"Phillip F Smith","detail":"Non-registered owner in the 5% to 10% ownership band, since June 1987."},{"label":"Alec F Smith","detail":"Non-registered owner in the 5% to 10% ownership band, since June 1987."}],"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Indiana","offices":1,"addresses":[{"street":"2713 Rockford Lane","city":"Kokomo","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"765-455-1554","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":89},{"label":"Securities issued by registered investment companies or business development companies","percent":11}],"privateFunds":0},"sources":{"adv1FilingDate":"13 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/14143/PDF/14143.pdf","brochureDate":"13 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018682","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Sycamore Financial Group have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sycamore Financial Group offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Sycamore Financial Group have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Sycamore Financial Group invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Sycamore Financial Group?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sycamore Financial Group get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Sycamore Financial Group registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Sycamore Financial Group?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 13 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}