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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SYCAMORE FINANCIAL GROUP

SYCAMORE FINANCIAL GROUP, INC., CRD 14143

KOKOMO, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e0539cc5-d5fa-10a4-2598-1f1c559bb762

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 2, 2012 to Mar 13, 2026
28 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=4.0
Regulatory AUM: $787MItem 5.F on the latest filing (2026-03-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $732M
Private client RAUM: $772MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $197Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 4
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 2,200
Individual clients: 950
High net worth clients: 186
SEC number: 801-62788
CRD: 14143
Filings on the tape: 28
First filed: Mar 2, 2012
Latest filed: Mar 13, 2026
Organised: Corporation, IN
Website: sycamoreweb.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
CRAIG ALLEN SMITH	Certified Financial Planner	KOKOMO, IN	27	53	n/a	yes
Brent Alan Yard	Certified Financial Planner	KOKOMO, IN \| Westfield, IN	9	13	n/a	yes
ALLISON TYMINSKI RUMSCHIK	Certified Financial Planner	Manlius, NY \| KOKOMO, IN	9	19	3	yes
Frederick Albert Matthes	n/a	KOKOMO, IN	0	12	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FAULKNER, ANITA LYNN	VICE PRESIDENT/SECRETARY	Na	yes	11/1993	Mar 2, 2012	Jun 4, 2024
SMITH, CRAIG ALLEN	PRESIDENT/TREASURER/CHIEF COMPLIANCE OFFICER	E	yes	08/1983	Mar 2, 2012	Jun 4, 2024
SMITH, ALEC F	NON-REGISTERED OWNER	A	no	06/1987	Feb 10, 2017	Jun 4, 2024
SMITH, PHILLIP F	NON-REGISTERED OWNER	A	no	06/1987	Feb 10, 2017	Jun 4, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Anderson	In	United States	1	yes
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 13, 2026	$787M	$732M	4	4	2	n/a	n/a
2024	Mar 26, 2025	$681M	$659M	4	4	2	n/a	n/a
2023	Feb 14, 2024	$666M	$637M	4	4	2	n/a	n/a
2022	Feb 23, 2023	$573M	$519M	4	4	2	n/a	n/a
2021	Mar 14, 2022	$582M	$568M	4	4	2	n/a	n/a
2020	Mar 8, 2021	$536M	$514M	4	4	2	n/a	n/a
2019	Feb 28, 2020	$485M	$457M	4	4	2	n/a	n/a
2018	Mar 8, 2019	$419M	$372M	4	3	2	n/a	n/a
2017	Mar 22, 2018	$452M	$427M	4	3	2	n/a	n/a
2016	Feb 10, 2017	$380M	$354M	4	3	n/a	n/a	n/a
2015	Feb 1, 2016	$368M	$313M	4	3	n/a	n/a	n/a
2014	Mar 19, 2015	$371M	$326M	4	3	n/a	n/a	n/a
2013	Feb 20, 2014	$334M	$271M	4	3	n/a	n/a	n/a
2012	Mar 11, 2013	$256M	$211M	4	3	n/a	n/a	n/a
2011	Mar 2, 2012	$221M	$176M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$787M	$681M	15.6%	$573M	11.2%	4	4	2	2

Relationships

Registered with (4)

← Frederick Albert MatthesAdvisorregistration: current employment
Jan 3, 2026 to presentfactForm ADV
← ALLISON TYMINSKI RUMSCHIKAdvisorregistration: current employment
Aug 8, 2017 to presentfactForm ADV
← Brent Alan YardAdvisorregistration: current employment
Jul 18, 2017 to presentfactForm ADV
← CRAIG ALLEN SMITHAdvisorregistration: current employment
Dec 16, 1998 to presentfactForm ADV

Controls (2)

← FAULKNER, ANITA LYNNOwnerVICE PRESIDENT/SECRETARY, ownership code NA, individual
Mar 2, 2012 to Jun 4, 2024factForm ADV
← SMITH, CRAIG ALLENOwnerPRESIDENT/TREASURER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 2, 2012 to Jun 4, 2024factForm ADV

Owns (2)

← SMITH, PHILLIP FOwnerNON-REGISTERED OWNER, ownership code A, individual
Feb 10, 2017 to Jun 4, 2024factForm ADV
← SMITH, ALEC FOwnerNON-REGISTERED OWNER, ownership code A, individual
Feb 10, 2017 to Jun 4, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e0539cc5-d5fa-10a4-2598-1f1c559bb762
First observed: Mar 2, 2012
Last observed: Mar 13, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SYCAMORE FINANCIAL GROUP

SYCAMORE FINANCIAL GROUP, INC., CRD 14143

KOKOMO, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e0539cc5-d5fa-10a4-2598-1f1c559bb762

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:14 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CRAIG ALLEN SMITH

Certified Financial Planner

KOKOMO, IN

n/a

yes

Brent Alan Yard

Certified Financial Planner

KOKOMO, IN | Westfield, IN

n/a

yes

ALLISON TYMINSKI RUMSCHIK

Certified Financial Planner

Manlius, NY | KOKOMO, IN

yes

Frederick Albert Matthes

n/a

KOKOMO, IN

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FAULKNER, ANITA LYNN

VICE PRESIDENT/SECRETARY

yes

11/1993

Mar 2, 2012

Jun 4, 2024

SMITH, CRAIG ALLEN

PRESIDENT/TREASURER/CHIEF COMPLIANCE OFFICER

yes

08/1983

Mar 2, 2012

Jun 4, 2024

SMITH, ALEC F

NON-REGISTERED OWNER

06/1987

Feb 10, 2017

Jun 4, 2024

SMITH, PHILLIP F

NON-REGISTERED OWNER

06/1987

Feb 10, 2017

Jun 4, 2024

City

State

Country

Employees

Also broker-dealer

Anderson

United States

yes

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 13, 2026

$787M

$732M

n/a

2024

Mar 26, 2025

$681M

$659M

n/a

2023

Feb 14, 2024

$666M

$637M

n/a

2022

Feb 23, 2023

$573M

$519M

n/a

2021

Mar 14, 2022

$582M

$568M

n/a

2020

Mar 8, 2021

$536M

$514M

n/a

2019

Feb 28, 2020

$485M

$457M

n/a

2018

Mar 8, 2019

$419M

$372M

n/a

2017

Mar 22, 2018

$452M

$427M

n/a

2016

Feb 10, 2017

$380M

$354M

n/a

2015

Feb 1, 2016

$368M

$313M

n/a

2014

Mar 19, 2015

$371M

$326M

n/a

2013

Feb 20, 2014

$334M

$271M

n/a

2012

Mar 11, 2013

$256M

$211M

n/a

2011

Mar 2, 2012

$221M

$176M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$787M

$681M

15.6%

$573M

11.2%