Frederick A. Matthes

SYCAMORE FINANCIAL GROUP

KOKOMO, IN 46902

CRD#: 8188757

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Professional summary

Frederick Albert Matthes is a registered financial advisor currently at SYCAMORE FINANCIAL GROUP located in Kokomo, Indiana.

Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2026. Frederick has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Albert Matthes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 3, 2026 - Present

SYCAMORE FINANCIAL GROUP

Office #1: 2713 Rockford Lane, Kokomo, IN 46902

RIA

CRD#: 14143

KOKOMO, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SYCAMORE FINANCIAL GROUP

SMITH, GAYLOR, INC. | SYCAMORE FINANCIAL GROUP, INC. | SYCAMORE FINANCIAL GROUP

CRD#: 14143 / SEC#: 801-62788, 8-30302

RIA

Registered Investment Advisory firm - SEC (2/27/2004 Approved)

Indiana

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(1/3/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/3/2026

Uniform Investment Adviser Law Examination

Current Firm

SYCAMORE FINANCIAL GROUP

SMITH, GAYLOR, INC. | SYCAMORE FINANCIAL GROUP, INC. | SYCAMORE FINANCIAL GROUP

CRD#: 14143 / SEC#: 801-62788, 8-30302

RIA

Registered Investment Advisory firm - SEC (2/27/2004 Approved)

Indiana

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

2713 Rockford Lane, Kokomo, IN 46902

Mailing Address

2713 Rockford Lane, Kokomo, IN 46902

Phone number

(765) 455-1554

Established

Indiana since 07/23/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (8 States and Territories)

FINRA licenses (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2AB SYCAMORE FINANCIAL GROUP (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
SMITH, CRAIG ALLEN	PRESIDENT/TREASURER/CHIEF COMPLIANCE OFFICER	810191
SMITH, ALEC F	NON-REGISTERED OWNER	6395553
SMITH, PHILLIP F	NON-REGISTERED OWNER	6395438
FAULKNER, ANITA LYNN	VICE PRESIDENT/SECRETARY	1575683

Regulatory assets under management

Total Number of Accounts	1,937
AUM (Assets Under Management)	$ 681,079,389

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Frederick A. Matthes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Albert Matthes's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYCAMORE FINANCIAL GROUP

Primary Firm SEC Registration

SYCAMORE FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/2026

Current Firm

SYCAMORE FINANCIAL GROUP

Contact information

SEC notice filing (8 States and Territories)

FINRA licenses (21 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SYCAMORE FINANCIAL GROUP

TRUST BUT VERIFY

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