Managed Portfolios thru Sycamore Financial Group

Investment Advisory Information
Form ADV: Part 2 A&B Click Here.

Sycamore Financial Group is one of the first Corporations in Indiana to become a Certified B Corporation®. We are legally required to consider the impact of decisions on workers, customers, suppliers, the community, and the environment.

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Personal Managed Portfolios

We manage individual investment (stock and bond) accounts for individuals, trusts and corporations. Sycamore Financial Group’s three primary goals when managing our client accounts provide: Solid returns, reduced volatility and tax efficiency.

WHAT WE BUY

Blue Chip Stocks which potentially offer:

Consistency

Less Volatility

Strength

Earnings
Dividends
Growth

Lower P/E Ratio
Lower Beta
Higher Book Value
Higher Dividend

Strong Balance Sheet
Basic/Essential Industries
Leaders in their Industry


WHEN WE BUY

  • Out of favor/overlooked stocks
  • Undervalued compared to historical ratios

WHEN WE SELL

  • Popular/overbought
  • Overvalued compared to historical ratios
  • When we feel the “after-tax” value of a security would be more profitable for you in another stock

ADVANTAGES OF OWNING STOCKS

  • Long Term Capital Gain (15%/5%)
  • Estate Planning – Free stepped-up basis
  • Year-End Tax Planning
  • Cash Flow
  • The Best Stocks Now

REPORTS

Monthly
(From Custodian)

Quarterly/Annually
(Sycamore Financial Group)

Value of Account
Deposits / Withdrawals
Purchase / Sales
Dividends / Interest
Splits / Reorganization

Account Diversification – Quarterly
Dividend yield on account – Quarterly
Capital Gain & Loss report – Annually


ACCOUNT PROTECTION

Sycamore Financial Group, Folio Investments, and Southwest Securities are all members of SIPC (Securities Investors Protection Corporation). SIPC protects each customer against any shortage caused by the failure of Sycamore Financial or Southwest Securities up to $500,000 (including $100,000 in cash). Southwest Securities has purchased additional insurance to cover customer accounts up to an aggregate of $100,000,000.00. (See footnote 1 below.)

FEES

Value of Account

Equity / Stocks

Bonds

Funds

First $500,000
Next $1,000,000
Next $8,500,000
Amount Over $10,000,000

1.5 %
1.0 %
.8 %
.6 %

.75 %
.5 %
.4 %
.3%

1.0 %
.75 %
.5 %
.4 %


INVESTOR REQUIREMENTS

  • Patience
  • Long term objectives (5 years or more)
  • $100,000.00 initial deposit (see footnote 2 below)

INVESTOR ADVANTAGES

  • Lower Costs
  • Professional Management
  • No Sales or Termination Charge

Investment return and principal value will fluctuate. An Investor’s shares, when sold, may be worth more or less than their original cost.

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FOOTNOTES
1. SIPC Brochure available upon request.
2. There is no minimum account size, but because of transaction costs, investors with smaller amounts need to be certain they understand the effect that these costs may have on their accounts overall performance.