SYCAMORE FINANCIAL GROUP
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$772,433,933
Clients
1,136
Advisors
4
across 2 offices
About
Sycamore Financial Group provides portfolio management, financial planning and pension consulting to individuals (including high‑net‑worth clients), corporations, pension plans and other institutional clients. The SEC‑registered firm manages roughly $787 million across more than 1,100 client relationships — a client‑to‑advisor ratio that is substantially higher than typical for firms of its team size.
The firm applies fundamental, bottom‑up analysis and offers a set of proprietary model portfolios (from aggressive equity to balanced allocations) that advisors match to each client’s goals and risk tolerance; accounts may be managed on either a discretionary or non‑discretionary basis. Trading generally reflects a long‑term orientation, though the firm may infrequently use margin and options and will aggregate client orders when appropriate.
Sycamore is dually registered and conducts broker‑dealer and insurance activities in addition to advisory services, and the brochure discloses that advisors may receive commissions or 12b‑1 fees and that the firm may recommend its own broker‑dealer — practices that create potential conflicts of interest and are addressed in its disclosures. It also discloses a historical regulatory event related to supervision, does not vote client proxies, and frequently works with closely held businesses and their owners, which are distinguishing characteristics relative to many peers.
Client services
Expertise
Occupation focus
Fee options
$0 - $500,000: 1.5% for equities/stocks $500,001 - $1,500,000: 1.0% for equities/stocks on the next $1,000,000 $1,500,001 - $10,000,000: 0.8% for equities/stocks on the next $8,500,000 $10,000,001+: 0.6% for equities/stocks on amounts exceeding $10,000,000 $0 - $500,000: 0.75% for fixed/bonds $500,001 - $1,500,000: 0.5% for fixed/bonds on the next $1,000,000 $1,500,001 - $10,000,000: 0.4% for fixed/bonds on the next $8,500,000 $10,000,001+: 0.3% for fixed/bonds on amounts exceeding $10,000,000 $0 - $500,000: 1.0% for mutual funds $500,001 - $1,500,000: 0.75% for mutual funds on the next $1,000,000 $1,500,001 - $10,000,000: 0.5% for mutual funds on the next $8,500,000 $10,000,001+: 0.3% for mutual funds on amounts exceeding $10,000,000
Charges commissions on stock or bond trades to cover execution fees; $32.50 per trade through Hilltop, up to $4 per trade through Folio, some trades free.
Fee-only: No charge currently for financial planning services for qualified clients.
Main office
See office2713 Rockford Lane
Kokomo IN 46902-4058
Advisors at this office
3
Offices (2)
Most active in
Florida · Illinois · Indiana · Nebraska · New York · Ohio · Texas · Virginia
Also doing business as
Smith, Gaylor, Inc. · Sycamore Financial Group · Sycamore Financial Group, Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Frederick M
Series 65
Kokomo, IN
SYCAMORE FINANCIAL GROUP
Frederick Matthes is a financial advisor at Sycamore Financial Group in Kokomo, IN, holding a Series 65 designation with one year of industry experience. His prior work includes roles at CareerWise USA, Amazon Inc, Matthes Dental, and involvement with the University of Illinois Champaign-Urbana Gies School of Business. He has also contributed to the Indiana University Kokomo student newspaper. Sycamore Financial Group serves individuals, corporations, pension and profit-sharing plans, charitable organizations, estates, and trusts, often working with closely held businesses. The firm provides discretionary and non-discretionary portfolio management, financial planning, and pension consulting, focusing on fundamental analysis and proprietary model portfolios with a long-term investment orientation.
Craig S
CFP®, Series 63
Kokomo, IN
SYCAMORE FINANCIAL GROUP
Craig Smith is a financial advisor at Sycamore Financial Group with 51 years of industry experience. He holds the CFP® and Series 63 designations and has worked at Sycamore Financial Group since 1983, following earlier experience at K.J. Brown & Co. Inc. outside of his advisory role, he is involved in agricultural activities as a member of a family grain farming LLC. Sycamore Financial Group provides portfolio management, financial planning, and pension consulting to individuals, corporations, pension plans, and other institutional clients. The firm manages approximately $787 million across more than 1,100 client relationships, using a bottom-up investment approach and proprietary model portfolios tailored to client goals and risk tolerances.
Allison R
CFP®, Series 66
Manlius, NY
SYCAMORE FINANCIAL GROUP
Allison Rumschik is a CFP® and holds a Series 66 license with 18 years of industry experience. She has been with Sycamore Financial Group since 2017 and previously worked at Foliofn Investments, Inc. for three years. Sycamore Financial Group serves a diverse client base including individuals, corporations, pension and profit-sharing plans, and charitable organizations. The firm uses fundamental analysis and proprietary model portfolios to manage accounts with a long-term focus, primarily recommending individual stocks and bond index funds.
Brent Y
CFP®, Series 63, Series 65
Kokomo, IN
SYCAMORE FINANCIAL GROUP
Brent Yard Jr. is a CFP® professional with nine years of experience at Sycamore Financial Group in Kokomo, IN. He has worked at the firm since 2016 and previously was affiliated with Indiana University. Sycamore Financial Group offers portfolio management, financial planning, and pension consulting services to individuals, corporations, pension plans, and other institutional clients. The firm employs fundamental, bottom-up analysis and utilizes proprietary model portfolios tailored to client goals and risk tolerance.
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