DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Sycamore Financial Group
Legal name Sycamore Financial Group, Inc.
Latest filing Mar 13, 2026
First filing on the tape Mar 2, 2012 · 28 filings
SEC status approved since Feb 27, 2004
RAUM
$787M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
98%
$772M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$197M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$787M as of Mar 13, 2026
Mar 2, 2012$221M then
HNW client RAUM$573M as of Mar 13, 2026
Mar 22, 2018$267M then
State-registered IARs (5.B.3)4 as of Mar 13, 2026
Mar 2, 20120 then
Employees (5.A)4 as of Mar 13, 2026
Mar 11, 20134 then
Private funds: no history
RAUM +16% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $197MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 284derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $357,914derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$573M73%
- Individuals$199M25%
- Charitable organizations$15.0M1.9%
- Individual clients
- 950reported
- HNW clients
- 186reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 2,200reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Craig Allen SmithCertified Financial Planner | Kokomo, In | Dec 16, 1998 | 53 y | 0 |
| Brent Alan YardCertified Financial Planner | Kokomo, In | Jul 18, 2017 | 13 y | 0 |
| Allison Tyminski RumschikCertified Financial Planner | Manlius, Ny | Aug 8, 2017 | 19 y | 3 |
| Frederick Albert Matthes | Kokomo, In | Jan 3, 2026 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Allison Tyminski Rumschik from Ridgeway Conger Advisory ServicesAug 8, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Anita Lynn Faulkner · Vice President/Secretarycontrolsince 11/1993 · owns less than 5%
- Craig Allen Smith · President/Treasurer/Chief Compliance Officercontrolsince 08/1983 · owns 75% or more
- Alec F Smith · Non-Registered Ownersince 06/1987 · owns 5% to 10%
- Phillip F Smith · Non-Registered Ownersince 06/1987 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kokomo, In · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Anderson, IN1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Mar 13, 2026private clients per advisor of 284.0 against a peer median of 63.7 (1211 comparable advisers, 98.0th percentile, 5.9 robust deviations)peers: independent wealth managers, $500M to $1B (1,211) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 1,937 to 2,200Mar 26, 2025 to Mar 13, 2026
- HNW clients · 158 to 186Mar 26, 2025 to Mar 13, 2026
- Individual clients · 744 to 950Mar 26, 2025 to Mar 13, 2026
- Discretionary RAUM · $659M to $732MMar 26, 2025 to Mar 13, 2026
- HNW RAUM · $449M to $573MMar 26, 2025 to Mar 13, 2026
- Individual RAUM · $199M to $199MMar 26, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $21.6M to $55.0MMar 26, 2025 to Mar 13, 2026
- RAUM · $681M to $787MMar 26, 2025 to Mar 13, 2026
- Accounts · 1,908 to 1,937Jun 4, 2024 to Mar 26, 2025
- Charity clients · 9 to 10Jun 4, 2024 to Mar 26, 2025
- HNW clients · 148 to 158Jun 4, 2024 to Mar 26, 2025
- Individual clients · 719 to 744Jun 4, 2024 to Mar 26, 2025
- Financial planning clients · 251-500 to 251-500Jun 4, 2024 to Mar 26, 2025
- Discretionary RAUM · $637M to $659MJun 4, 2024 to Mar 26, 2025
- HNW RAUM · $444M to $449MJun 4, 2024 to Mar 26, 2025
- Individual RAUM · $201M to $199MJun 4, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $28.3M to $21.6MJun 4, 2024 to Mar 26, 2025
- RAUM · $666M to $681MJun 4, 2024 to Mar 26, 2025
- Accounts · 1,857 to 1,908Feb 23, 2023 to Feb 14, 2024
- Charity clients · 10 to 9Feb 23, 2023 to Feb 14, 2024
- HNW clients · 129 to 148Feb 23, 2023 to Feb 14, 2024
- Individual clients · 762 to 719Feb 23, 2023 to Feb 14, 2024
- Discretionary RAUM · $519M to $637MFeb 23, 2023 to Feb 14, 2024
- HNW RAUM · $340M to $444MFeb 23, 2023 to Feb 14, 2024
- Individual RAUM · $217M to $201MFeb 23, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $54.5M to $28.3MFeb 23, 2023 to Feb 14, 2024
- RAUM · $573M to $666MFeb 23, 2023 to Feb 14, 2024
- Accounts · 1,203 to 1,857Mar 14, 2022 to Feb 23, 2023
- Charity clients · 17 to 10Mar 14, 2022 to Feb 23, 2023
- HNW clients · 132 to 129Mar 14, 2022 to Feb 23, 2023
- Individual clients · 1,054 to 762Mar 14, 2022 to Feb 23, 2023
- Discretionary RAUM · $568M to $519MMar 14, 2022 to Feb 23, 2023
- HNW RAUM · $377M to $340MMar 14, 2022 to Feb 23, 2023
- Individual RAUM · $188M to $217MMar 14, 2022 to Feb 23, 2023
- Non-discretionary RAUM · $14.3M to $54.5MMar 14, 2022 to Feb 23, 2023
- RAUM · $582M to $573MMar 14, 2022 to Feb 23, 2023
- Accounts · 1,828 to 1,203Jun 29, 2021 to Mar 14, 2022
- Charity clients · 6 to 17Jun 29, 2021 to Mar 14, 2022
- HNW clients · 116 to 132Jun 29, 2021 to Mar 14, 2022
- Individual clients · 821 to 1,054Jun 29, 2021 to Mar 14, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@sycamoreweb.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- kconrad@sycamoreweb.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- kcarter@sycamoreweb.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 765-201-4758reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 765-444-1554reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 765-455-1554reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- SYCAMOREWEB.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 765-455-1554reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- sycamoreweb.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $197Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026