SYCAMORE FINANCIAL GROUP
SYCAMORE FINANCIAL GROUP, INC. Legal Name
Adviser information for SYCAMORE FINANCIAL GROUP last updated from Form ADV on February 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Indiana, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,837 | $637.4M |
| Non-Discretionary | 71 | $28.3M |
| Total | 1,908 | $665.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 719 | $201.1M |
| HNW Individuals | 148 | $444.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 9 | $20.4M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-62788 |
|---|---|
| SEC ERA File Number | 801-62788 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 14143 |
| Legal Entity Identifier | None |
Principal Office
2713 ROCKFORD LANEKOKOMO
IN
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 765-455-1554, Fax: None
Websites
Chief Compliance Officer
CRAIG A SMITH
PRESIDENT
2713 ROCKFORD LANE
KOKOMO
IN
United States
Tel:
765-455-1554
C*****@**************M
(Full email address available in API data)
Regulatory Contact
ANITA L. FAULKNER
V.P.
2713 ROCKFORD LANE
KOKOMO
IN
United States
Tel:
765-455-1554
A*********@**************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SMITH, CRAIG ALLEN | Individual | – | PRESIDENT/TREASURER/CHIEF COMPLIANCE OFFICER | 08/1983 | > 75% |
| FAULKNER, ANITA LYNN | Individual | – | VICE PRESIDENT/SECRETARY | 11/1993 | < 5% |
| SMITH, PHILLIP F | Individual | – | NON-REGISTERED OWNER | 06/1987 | 5-10% |
| SMITH, ALEC F | Individual | – | NON-REGISTERED OWNER | 06/1987 | 5-10% |