SourcingSourcing

SYCAMORE FINANCIAL GROUP, INC.

B52
CRD 14143·SEC 801-62788·KOKOMO, IN
AUM
$787.4M
$500M-$1B
Est. Revenue
$7.9M
@ 1% on AUM
Est. EBITDA
$2.4M
@ 30% margin
Est. Deal Value
$18.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SYCAMORE FINANCIAL GROUP, INC.
CRD
14143
SEC file #
801-62788
EIN
—
DBA names
Sycamore Financial Group

Economics

AUM
$787.4M
AUM band
$500M-$1B
AUM trajectory
'20'26
$419.3M → $787.4M▲ +88%
Client mix
Individuals Other950
Individuals High Net Worth186
Charitable Organizations10

Operations

Employees (total)
4
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
3 advisors → 4 advisors▲ +33%
Primary office
KOKOMO IN
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUM

Filings

Latest ADV filing
03/13/2026
ADV-W filed at
—
Website
sycamoreweb.com

Compliance

Disclosures (firm)
2
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SMITH, CRAIG ALLEN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
4
Control Persons
SMITH, CRAIG ALLEN
SMITH, ALEC F
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SYCAMOREWEB.COM
Rdap Domain Creation Date
1997-01-31T05:00:00Z
Rdap Firm Age Years
29
Rdap Firm Age Band
20+y
Rdap Registrar
Tucows Domains Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
5
Bc Firm Active IA Count
4
Bc Firm IAR Count
6
Custodian Candidates
Full
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-02-01T05:00:00Z
Rdap Domain Last Changed
2026-04-12T04:04:57Z
Rdap Nameservers
Ns1.arisedns.comNs2.arisedns.comNs3.arisedns.comNs4.arisedns.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer ProhibitedClient Update Prohibited
Top Owner CRD
810191
Trust Company Affiliate
No

People (8)

8
SMITH, CRAIG ALLEN
IAR · Direct Owner · 87.5%
810191
SMITH, ALEC F
Direct Owner · 7.5%
6395553
SMITH, PHILLIP F
Direct Owner · 7.5%
6395438
FAULKNER, ANITA LYNN
IAR · Executive Officer · 2.5%
1575683
ALLISON TYMINSKI RUMSCHIK
IAR
5239290
B KAREN CONRAD
IAR
1308310
Frederick Albert Matthes
IAR
8188757
Brent Alan Yard
IAR
6654799