# SYCAMORE FINANCIAL GROUP

SYCAMORE FINANCIAL GROUP of KOKOMO, IN is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 14143
- Type: SEC-registered investment adviser
- SEC file number: 801-62788
- Location: 2713 ROCKFORD LANE, KOKOMO, IN, 46902
- Phone: 765-455-1554
- Latest filing: 2026-03-13
- Regulatory AUM: $787.4M
- Discretionary AUM: $732.4M
- Non-discretionary AUM: $55.0M
- Clients: 4
- Accounts: 2,200

## Business model

- Compensation: % of AUM
- Clients served: Individuals, High net worth

## Officers, owners & control persons (7)

| Name | Role | Location |
| --- | --- | --- |
| Craig Allen Smith | PRESIDENT/TREASURER/CHIEF COMPLIANCE OFFICER | — |
| Anita Lynn Faulkner | VICE PRESIDENT/SECRETARY | — |
| Phillip F Smith | NON-REGISTERED OWNER | — |
| Alec F Smith | NON-REGISTERED OWNER | — |
| SMITH CRAIG ALLEN | PRESIDENT/TREASURER; PRESIDENT/TREASURER/CHIEF COMPLIANCE OFFICER | — |
| FAULKNER ANITA LYNN | VICE PRESIDENT/SECRETARY | — |
| SMITH DONALD F | NON-REGISTERED OWNER | — |


## Disclosures (6)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 1985-10-08 | regulatory | ADMINISTRATIVE COMPLAINT ALLEGING A FAILURE TO SUPERVISE | Final | $2K |
| 1985-10-08 | regulatory | ADMISTRATIVE COMPLAINT ALLEGING A FAILURE TO SUPERVISE | Final | $2K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/14143/brochure
- Similar advisers: https://search.stillhousedata.com/firm/14143/similar
- Related entities: https://search.stillhousedata.com/firm/14143/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/14143

---

Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.