SYCAMORE FINANCIAL GROUP

Sycamore Financial Group serves a broad client base that includes individuals (including high‑net‑worth clients), corporations, pension and profit‑sharing plans, charitable organizations, estates and trusts, and frequently works with closely held businesses and their owners to coordinate business and personal and business finances. The firm offers discretionary and non‑discretionary portfolio management, comprehensive financial planning, and pension consulting.

The firm’s investment process emphasizes fundamental (bottom‑up) analysis and a suite of proprietary model portfolios that range from aggressive, 100%‑equity strategies (Growth and Income, Mid Cap, Singles) and dividend‑focused approaches to balanced allocations down to a 50/50 mix. Accounts are generally managed with a long‑term orientation; the firm primarily recommends individual stocks and bond index funds, uses third‑party research, and may infrequently employ margin and option strategies as appropriate to client objectives.

Sycamore is dually registered as an investment adviser and a broker‑dealer, routinely recommends itself for brokerage, and discloses that it may receive brokerage commissions and 12b‑1 fees while reporting that less than half of its revenues come from brokerage activities; it also practices direct billing of advisory fees with custodians such as Hilltop Securities and Folio Institutional. The firm manages roughly $681 million for about 902 clients with four advisors (a notably high client‑to‑advisor ratio), discloses a historical supervisory enforcement matter resolved in 1985, does not vote client proxies, and notes potential insurance‑related compensation when recommending variable insurance products.