About Our Company and Our Commitment to Our Clients

Our founder, Dan Shanklin, began his career in the financial services industry in 1970 with the formation of Shanklin Agency and Associates.  Early on he recognized the value of long term investing to secure retirement for his clients, and he encouraged his clients to formulate and implement long term plans for investing. Dan and his son Tim founded Shanklin Capital Management, Inc. in December, 1993, when they started the Registered Investment Advisor firm and established their own set of mutual funds. The funds were liquidated and disbanded in 2002 and their client accounts were moved to Schwab Institutional Management.

Les Jaco joined the firm in October, 2009, and became the Managing Principal in January, 2010. The firm was re-branded as Sycamore Financial Advisors at that time.

There are currently four Investment Advisor Representatives and one Insurance Consultant affiliated with the firm. The firm is registered with the State of Tennessee Department of Commerce and Insurance, Securities Division as a Registered Investment Advisor.

Sycamore Financial Advisors, Inc. (SFA) provides personal financial planning and investment management to individuals, corporations, families and their related entities, trusts and estates, and family businesses. SFA works with clients to define financial objectives and to develop strategies for reaching those objectives, some of which may include: identification of financial problems, cash flow and budget management, tax planning, risk exposure review, investment management, education funding, retirement planning, estate planning, charitable goals, special needs planning, family business issues, fringe benefits, and/or other issues specific to the client.

The firm’s compensation is from fees paid directly by clients, except in the circumstance of insurance placement, which is paid to the producers by the insurance companies. The firm does not receive commission based on the client’s purchase of any financial product, except for some insurance contracts. No referral fees are paid or accepted. We receive no benefits from custodians/broker-dealers based on client securities transactions (“soft dollar benefits”).

Assets under direct management of SFA are held, in the client’s name, by independent custodians, primarily Charles Schwab & Co. Institutional Services. SFA does not act as a custodian of client assets, although we may at times be considered by the SEC to technically have “custody” over certain types of accounts held at independent custodians. This occurs primarily when a representative of SFA is the trustee of an unrelated trust and SFA is the investment advisor on the trust’s investment accounts.

We may recommend other professionals (e.g. lawyers, accountants, insurance agents, real estate agents, etc.) at the request of the client. Other professionals are engaged by the client on an as-needed basis even when recommended by the Advisor. Conflicts of interest will be disclosed to the client and managed in the best interest of the client.

 

Principal Owners

Leslie Jaco, Jr. is the majority owner of the parent company, Shanklin Capital Management, Inc., holding 76% of the outstanding shares. The remaining shares are held by three individuals who are passive investors in the firm, having no position in the daily operation of the business. None of these individuals hold more than 20% of the shares outstanding.

Types of Advisory Services

The primary type of advisory service offered by SFA is investment management and investment advice. SFA also provides financial planning as a part of an on-going relationship with its clients. In performing its services, SFA is not required to independently verify any information received from the client or from the client’s other professionals. Each client is advised that it remains his/her responsibility to promptly notify SFA when there is any change in his/her financial situation and/or financial objectives for the purpose of reviewing, evaluating, or revising previous recommendations and/or services.  The following are typical financial services offered to clients:

 

Investment Management Services

This service includes determination of needs, recommending solutions, implementation, ongoing asset management, monitoring services. and other issues specific to the client. Our services also include unlimited telephone support, meetings as required, financial planning services, reminders of specific courses of action that need to be taken, and quarterly, semi-annual or annual portfolio reviews as needed with each client. More frequent reviews may occur as requested or necessitated by changes in the client’s circumstances.


Financial Planning

Financial planning may include identification of financial objectives, cash flow and budget management, tax planning, risk exposure review, investment management, education funding, retirement planning, estate planning, charitable goals, small business planning issues, fringe benefits, special needs planning or other issues specific to the client. A written evaluation of the client’s current situation and progress toward their objective is provided to the client. Recommendations are given in each area specifically requested by the client.

 

Tailored Relationships

At SFA, advisory services are tailored to the individual needs of clients. Client goals and objectives are clarified in meetings and via correspondence, and used to determine the course of action for each individual client. The goals and objectives for each client are documented in our client records and files either in hard copy or electronic files.  Clients may impose restrictions on investing in certain securities or types of securities. This must be done in writing and signed by the client, SFA and the applicable client representative.

Sycamore Financial Advisors Value Statement

At Sycamore Financial, we understand that every client is unique. So whether you desire basic asset allocation, financial planning or more advanced investment strategies, our experienced advisors are qualified to implement a plan best suited for you.

 

"At Sycamore Financial Advisors, Each Client is Unique, Every
Dollar is Important and We Work Hard to Earn Your Trust"

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