Albert Pingree Herzog

Employer firm

Ep Wealth Advisors CRD 111147

$45.1B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers
• Educational seminars
• RETIREMENT PLAN ADVISORY SERVICES & TAX PREPARATION SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2006 → 05/2023
  Executive Wealth Management, Llc
  Brighton, MI
• 04/2009 → 06/2017
  Invest Financial Corp.
  Tampa, FL
• 12/2012 → 11/2017
  401(K) Gps, Llc
  Brighton, MI
• 06/2017 → 12/2022
  Private Client Services Llc
  Louisville, KY
• 02/2021 → Present
  Ewm Tax Solutions, Llc
  Brighton, MI
• 05/2023 → 12/2024
  Executive Wealth Management, Llc
  Brighton, MI
• 02/2017 → Present
  Ewm Capital, Llc
  Brighton, MI
• 12/2024 → Present
  Ep Wealth Advisors, Llc.
  Torrance, CA

Previous Registrations

• 2009-07-15 → 2025-03-14
  Executive Wealth Management, Llc
  Brighton, MI
  Naples, FL
  Brighton, MI
• 2013-12-03 → 2017-11-16
  401K Gps
  Brighton, MI
• 2009-04-07 → 2017-06-02
  Invest Financial Corporation
  Williamston, MI
  Brighton, MI
  Brighton, MI
• 2011-10-05 → 2013-12-24
  401(K) Gps, Inc.
  Brighton, MI
• 2008-04-15 → 2009-04-14
  Osaic Wealth, Inc.
  Brighton, MI
  Saline, MI
  Brighton, MI
  Brighton, MI

Other Businesses

1) EWM CAPITAL LLC, 135 W. NORTH STREET, BRIGHTON, MI 48116. OWNER - PARENT COMPANY FOR EXECUTIVE WEALTH MANAGEMENT, LLC, EWM INVESTMENT SOLUTIONS AND EXECUTIVE FINANCIAL PLANNING, INC. INVESTMENT RELATED. START 02/2017. 12 HOURS/MO DURING TRADING HOURS. 2) EXECUTIVE FINANCIAL PLANNING, INC., 135 W. NORTH ST, STE 1, BRIGHTON, MI, OWNER - CONDUCT DAILY OPERATIONS, INSURANCE AND SECURITIES, INVESTMENT RELATED, START 01/01/1985, 12 HRS/MO, 12 HRS DURING TRADING; 3) EXECUTIVE WEALTH MANAGEMENT, 135 W. NORTH ST, STE 1, BRIGHTON, MI 48116, INVESTMENT ADVISORY SERVICES, PRIVATE WEALTH ADVISOR, RIA FOR ADVISORY SERVICES, INVESTMENT RELATED, START 7/2006, 120 HRS/MO, 100 DURING TRADING; 4) EWM TAX SOLUTIONS, LLC; NOT INVESTMENT RELATED, 135 W. NORTH STREET, BRIGHTON, MI 48116. MINORITY OWNER, TAX PREPARATION. 0 HOURS/MO DURING TRADING HOURS. 02/2021, ATTEND QUARTERLY BOARD DISCUSSIONS 5) HERZOG VENTURES, LLC, INVESTMENT RELATED, INVESTMENT COMPANY CREATED SOLELY FOR PURPOSE OF INVESTING IN NON-PUBLIC BUSINESS ENTITY, MEMBER, 0 HRS/MONTHLY. 6) NORTHSTREET PARTNERS, LLC, INVESTMENT RELATED, 135 W NORTH STREET, BRIGHTON MI 48116, COMMERCIAL REAL ESTATE, MINORITY OWNER, 0 HRS/MONTHLY 7) HERZOG AND ASSOCIATES, INVESTMENT RELATED, INDEPENDENT FINANCIAL CONSULTING BUSINESS, PRIMARY OWNER, START DATE 01/01/2000, 8HRS/MONTHLY

Exams

• S63 Uniform Securities Agent State Law Examination
  1989-04-05

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Bert Herzog