Sycamore Financial Group, Inc.
- Regulatory AUM
- $787M
- Discretionary
- $732M
- Clients
- 1,146
- Avg AUM / client
- $687K
- Accounts
- 2,200
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 950 | $199M | 25.3% |
| High net worth individuals | 186 | $573M | 72.8% |
| Charitable organizations | 10 | $15.0M | 1.9% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Craig Allen Smith | President/Treasurer/Chief Compliance Officer | CFP | Aug 1983 (43y) | 75% or more |
| Smith, Alec F | Non Registered Owner | Jun 1987 (39y) | 5% – 10% | |
| Smith, Phillip F | Non Registered Owner | Jun 1987 (39y) | 5% – 10% | |
| Faulkner, Anita Lynn | Vice President/Secretary | Nov 1993 (33y) | Less than 5% | |
| Brent Alan Yard | Registered representative | CFP | Jul 2017 (9y) | |
| Allison Tyminski Rumschik | Registered representative | CFP | Aug 2017 (9y) | |
| Frederick Albert Matthes | Registered representative | Jan 2026 (1y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/13/2026 | 1.17 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: ADMINISTRATIVE COMPLAINT ALLEGING A FAILURE TO SUPERVISE Status: Final Sanction Detail: $2,000.00 FINE PAID 10/17/1985 IN FULL NO PORTION WAS WAIVED. Summary: FINE IMPOSED OF $2,000.00 BY STATE OF INDIANA FOR FAILURE TO SUPERVISE.
Allegations: ADMISTRATIVE COMPLAINT ALLEGING A FAILURE TO SUPERVISE Status: Final Sanction Detail: $2,000.00 FINE PAID 10/17/1985 IN FULL NO PORTION WAS WAIVED. Summary: FINE IMPOSED OF $2,000.00 BY STATE OF INDIANA FOR FAILURE TO SUPERVISE.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 13, 2026.
View current Form ADV (SEC/IAPD) ↗