Philip Kapler has been Member / Principal and Chief Compliance Officer of Willow Financial since May 2023, is a control person of the firm and directly owns between 25% and 50% of it.
Willow Financial LLC is a Rogers, AR firm with $128M under management, 108 clients and 4 advisers across 2 offices, as of its June 2026 filing.
Philip Kapler is a Partner of Willow Financial and serves as its Chief Compliance Officer. He conducts in-depth research for clients' financial plans and works to meet regulatory compliance standards.
Philip Kapler’s longest registration was 5 years at Thrivent Investment Management Inc. (2018–2023). Before joining Willow Financial in 2023, Philip Kapler was registered through Thrivent Investment Management Inc.
- Thrivent Investment Management Inc.– · 5 yearsRogers, AR · Adviser representative · Firm CRD 18387
Investment adviser representative registrations
Philip Kapler is registered as an investment adviser representative in Arkansas, since June 2023.
- ArkansasSince 29 June 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 31 May 2018 |
| Series 7 | General Securities Representative Examination | 5 September 2017 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 April 2015 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 23 March 2015 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Philip A Kapler
- CRD
- 6429605
- Firm
- Willow Financial · CRD 325785
- Role
- Member / Principal and Chief Compliance Officer
- Office
- 2860 WEST WALNUT STREET, SUITE 100, Rogers, AR 72756
- Registration
- Investment adviser registration
- In the industry since
- March 2015
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- pathwaybywillow.com
Where does Philip Kapler work?
Philip Kapler has been Member / Principal and Chief Compliance Officer of Willow Financial LLC since May 2023, and is a control person of the firm.
Is Philip Kapler a financial advisor?
Yes. Philip Kapler has a current investment-adviser registration in Arkansas, through Willow Financial since June 2023.
How many years of experience does Philip Kapler have?
Philip Kapler has 11 years in the financial industry, since March 2015, across 2 adviser firms.
What exams has Philip Kapler passed?
Philip Kapler has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in March 2015. FINRA credited Philip Kapler with the SIE, which began in October 2018.
Where is Philip Kapler based?
Philip Kapler’s registered office is in Rogers, AR.
Is Philip Kapler registered with FINRA?
No. Philip Kapler has no current broker registration.
How can I verify Philip Kapler’s record?
Search CRD 6429605 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Philip Kapler’s full registration record.
