AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
PK

Philip A Kapler

WILLOW
ROGERS, AR
·CRD# 6429605·11 years experience

Professional Summary

Philip A Kapler, who also goes by Philip Kapler, is a registered financial advisor currently at WILLOW located in Rogers, Arkansas. Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Philip has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Philip Kapler

Blog Corner

Similar Advisors

AL
Annabelle A Lee

FARMERS FINANCIAL SOLUTIONS, LLC

WESTLAKE VILLAGE, CA · CRD#
View profile
JG
Jay Gray

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
TP
Tyrane R. Perry

J.P. MORGAN SECURITIES LLC

Atlanta, GA · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

AL
Annabelle A Lee

FARMERS FINANCIAL SOLUTIONS, LLC

WESTLAKE VILLAGE, CA · CRD#
Michael C Gimlin Jr.
Michael C Gimlin Jr.

LPL FINANCIAL LLC

Williamsville, NY · CRD#
JG
Jay Gray

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
TP
Tyrane R. Perry

J.P. MORGAN SECURITIES LLC

Atlanta, GA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

AL
Annabelle A Lee

FARMERS FINANCIAL SOLUTIONS, LLC

WESTLAKE VILLAGE, CA · CRD#
Michael C Gimlin Jr.
Michael C Gimlin Jr.

LPL FINANCIAL LLC

Williamsville, NY · CRD#
JG
Jay Gray

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
TP
Tyrane R. Perry

J.P. MORGAN SECURITIES LLC

Atlanta, GA · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

AL
Annabelle A Lee

FARMERS FINANCIAL SOLUTIONS, LLC

WESTLAKE VILLAGE, CA · CRD#
Michael C Gimlin Jr.
Michael C Gimlin Jr.

LPL FINANCIAL LLC

Williamsville, NY · CRD#
JG
Jay Gray

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
TP
Tyrane R. Perry

J.P. MORGAN SECURITIES LLC

Atlanta, GA · CRD#

Years of Experience

11 years in the financial services industry

Current & Past Employments

WILLOW·CRD# 325785
RIA
2860 West Walnut Street Suite 100, Rogers, AR 72756
June 29, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.·CRD# 18387
RIA
Rogers, AR
June 1, 2018 - June 30, 2023
THRIVENT INVESTMENT MANAGEMENT INC.·CRD# 18387
BD
Rogers, AR
March 23, 2015 - June 30, 2023

Similar Advisors

AL
Annabelle A Lee

FARMERS FINANCIAL SOLUTIONS, LLC

WESTLAKE VILLAGE, CA · CRD#
Michael C Gimlin Jr.
Michael C Gimlin Jr.

LPL FINANCIAL LLC

Williamsville, NY · CRD#
JG
Jay Gray

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
TP
Tyrane R. Perry

J.P. MORGAN SECURITIES LLC

Atlanta, GA · CRD#

Current Firm

WI
WILLOW

PATHWAY | WILLOW FINANCIAL LLC | WILLOW

CRD#: 325785 / SEC#: 801-131403
RIA
Registered Investment Advisory firm - SEC (11/1/2024 Approved)
Arkansas
Registered Investment Advisory firm - Arkansas (11/21/2024 Terminated)
Oklahoma
Registered Investment Advisory firm - Oklahoma (12/2/2024 Terminated)
Tennessee
Registered Investment Advisory firm - Tennessee (11/20/2024 Terminated)
Texas
Registered Investment Advisory firm - Texas (11/20/2024 Terminated)
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).

Contact Information

Main Address

2860 West Walnut Street Suite 100, Rogers, AR 72756

Phone Number

(479) 709-3949

# of Employees

5

SEC notice filing (3 States and Territories)

Registered to provide investment advisory services in 3 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WILLOW FINANCIAL DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/24/2026)

Regulatory Assets Under Management

Total Number of Accounts

358

AUM (Assets Under Management)

$127,638,991

Similar Advisors

AL
Annabelle A Lee

FARMERS FINANCIAL SOLUTIONS, LLC

WESTLAKE VILLAGE, CA · CRD#
Michael C Gimlin Jr.
Michael C Gimlin Jr.

LPL FINANCIAL LLC

Williamsville, NY · CRD#
JG
Jay Gray

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
TP
Tyrane R. Perry

J.P. MORGAN SECURITIES LLC

Atlanta, GA · CRD#

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.

LOCHMOOR CLUB POA POSITION: Board Member NATURE: This is my neighborhood POA board. I will have a general position on our board with voting abilities and responsibilities. I will not have access to any Board finances or bank accounts. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 03/06/2022 ADDRESS: 5000 Westchester, Bentonville AR 72713, United States DESCRIPTION: I will vote on general neighborhood issues. I will also introduce possible changes to implement and vote on. I will have the ability to influence what funds are spent on through a voting process (example: We have a neighborhood pool and improvements may cost $10,000 and the board would need to vote to approve the expense) NWA TRUSTED BUSINESS PARTNERS POSITION: Vice President NATURE: This is a networking group that I have served for in the past. Our mission is to help grow each others business by being a resource for each others clients. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2021 ADDRESS: 2860 West Walnut St Suite 100, Rogers AR 72756, United States DESCRIPTION: I will be in charge of member relations. This includes approving and denying member applications and renewals. I will also be in charge of chapter statistics evolving around attendance, referrals, and various other metrics. I will have no banking or financial privileges.

Similar Advisors

AL
Annabelle A Lee

FARMERS FINANCIAL SOLUTIONS, LLC

WESTLAKE VILLAGE, CA · CRD#
Michael C Gimlin Jr.
Michael C Gimlin Jr.

LPL FINANCIAL LLC

Williamsville, NY · CRD#
JG
Jay Gray

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
TP
Tyrane R. Perry

J.P. MORGAN SECURITIES LLC

Atlanta, GA · CRD#

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".
WI
WILLOW

PATHWAY | WILLOW FINANCIAL LLC | WILLOW

CRD#: 325785 / SEC#: 801-131403
RIA
Registered Investment Advisory firm - SEC (11/1/2024 Approved)
Arkansas
Registered Investment Advisory firm - Arkansas (11/21/2024 Terminated)
Oklahoma
Registered Investment Advisory firm - Oklahoma (12/2/2024 Terminated)
Tennessee
Registered Investment Advisory firm - Tennessee (11/20/2024 Terminated)
Texas
Registered Investment Advisory firm - Texas (11/20/2024 Terminated)
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.
IAR
Arkansas
(6/29/2023)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed May 2018About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2015About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2017About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Mar 2015About the Series 6 exam

Similar Advisors

AL
Annabelle A Lee

FARMERS FINANCIAL SOLUTIONS, LLC

WESTLAKE VILLAGE, CA · CRD#
Michael C Gimlin Jr.
Michael C Gimlin Jr.

LPL FINANCIAL LLC

Williamsville, NY · CRD#
JG
Jay Gray

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
TP
Tyrane R. Perry

J.P. MORGAN SECURITIES LLC

Atlanta, GA · CRD#

CRS (Client Relationship Summary) - RIA

Click below to view Philip A Kapler's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Similar Advisors

AL
Annabelle A Lee

FARMERS FINANCIAL SOLUTIONS, LLC

WESTLAKE VILLAGE, CA · CRD#
Michael C Gimlin Jr.
Michael C Gimlin Jr.

LPL FINANCIAL LLC

Williamsville, NY · CRD#
JG
Jay Gray

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
TP
Tyrane R. Perry

J.P. MORGAN SECURITIES LLC

Atlanta, GA · CRD#
PK
Follow Philip
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required