SYCAMORE FINANCIAL GROUP
Compensation Model
Compensation type disclosed on SEC Form ADV Item 5C. Filed 46094. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.
Conflict of Interest Analysis
Broker-Dealer Affiliated: Yes
This firm is affiliated with a broker-dealer, which means they may earn commissions on product sales — creating a potential conflict between their revenue and your best interest.
Insurance Licensed: No
Not insurance licensed. Cannot sell you annuity or insurance products directly.
Custody of Client Assets: No
Assets held at an independent custodian (e.g., Schwab, Fidelity, TD Ameritrade). This is the standard, lower-risk arrangement.
Proprietary Products: No
Uses only third-party investment products. No proprietary product conflicts.
Regulatory & Disciplinary History
Clean Record
No disciplinary events, regulatory actions, or customer complaints on file with the SEC or FINRA. This firm has maintained a spotless regulatory record for 22 years.
Firm Details
| Legal Name | SYCAMORE FINANCIAL GROUP |
| CRD Number | #14143 |
| SEC Registered | Yes |
| Registration Date | 2004-02-27 |
| States Registered | IN |
| Assets Under Management | $787M |
| Number of Clients | 4 |
| Employees | 4 |
| Compensation Type | commission |
| Last ADV Filing | 46094 |
Other Advisors in KOKOMO
SMITH FINANCIAL
KOKOMO, IN · Since 2010
CREATIVE FINANCIAL DESIGNS, INC.
KOKOMO, IN · Since 2001
Frequently Asked Questions
Is SYCAMORE FINANCIAL GROUP a fiduciary?
No. SYCAMORE FINANCIAL GROUP is not registered as an RIA and is not legally bound by the fiduciary standard.
How does SYCAMORE FINANCIAL GROUP charge clients?
SYCAMORE FINANCIAL GROUP uses a commission compensation model. They also earn commissions on product sales, which may create conflicts of interest. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.
Does SYCAMORE FINANCIAL GROUP have any complaints?
No. SYCAMORE FINANCIAL GROUP has zero complaints or disciplinary actions on file with the SEC or FINRA across 22 years of operation.
How does SYCAMORE FINANCIAL GROUP compare to other advisors in KOKOMO?
SYCAMORE FINANCIAL GROUP has a Red Flag Score of 95/100. There are 3 registered advisory firms in KOKOMO. Use our city page to compare firms side by side.
Where does this data come from?
All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.
Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46094. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.