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WILLOW

ROGERS, AR · CRD 325785 · IAPD ↗ · (479) 709-3949

$127.6MRegulatory AUM
4Advisory reps
5Employees
12Clients
11-25Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

50
July 2026 — WILLOW added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
58
April 2026 — WILLOW reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
April 2026 — WILLOW now reports custody of client assets ($17.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
58
March 2025 — WILLOW reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
95
December 2024 — WILLOW (ROGERS, AR) is newly SEC-registered with $110.5M RAUM and 5 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
60
March 2024 — WILLOW FINANCIAL LLC (ROGERS, AR) left the SEC roster — its 120-day provisional registration did not convert (was $32.0M RAUM, 3 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.