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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant37 years in industry

ALBERT PINGREE HERZOG

Advisor at EP WEALTH ADVISORS

Brighton, MI | TORRANCE, CA

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Search this name across graphsid dfx:ria:1315d266-ac88-1af5-bb5d-a9412016b5e2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 15, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: EP WEALTH ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 5, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S63
First exam: Apr 5, 1989
First registration: Apr 15, 2008
Dual registered: no
Other names: Bert Herzog
IAPD individual key: 1187236

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
EP WEALTH ADVISORS	Independent wealth	Jan 2, 2025	n/a	yes	Brighton, MI\|TORRANCE, CA	Current employment
401K GPS	Former SEC adviser	Dec 3, 2013	Nov 16, 2017	no	BRIGHTON, MI	Previous registration
401K GPS, LLC	Former SEC adviser	Oct 5, 2011	Dec 24, 2013	no	BRIGHTON, MI	Previous registration
EXECUTIVE WEALTH MANAGEMENT, LLC	Former SEC adviser	Jul 15, 2009	Mar 14, 2025	no	BRIGHTON, MI\|Naples, FL\|BRIGHTON, MI	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Apr 7, 2009	Jun 2, 2017	no	WILLIAMSTON, MI\|BRIGHTON, MI\|BRIGHTON, MI	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Apr 15, 2008	Apr 14, 2009	no	BRIGHTON, MI\|SALINE, MI\|BRIGHTON, MI\|BRIGHTON, MI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EXECUTIVE WEALTH MANAGEMENT, LLC	401K GPS, LLC	Mar 14, 2025	Oct 5, 2011	-4,909	Firm change after gap	Other
401K GPS	EP WEALTH ADVISORS	Nov 16, 2017	Jan 2, 2025	2,604	Firm change after gap	Other
INVEST FINANCIAL CORPORATION	EXECUTIVE WEALTH MANAGEMENT, LLC	Jun 2, 2017	Jul 15, 2009	-2,879	Firm change after gap	Other
401K GPS, LLC	401K GPS	Dec 24, 2013	Dec 3, 2013	-21	Channel change	Other
OSAIC WEALTH, INC.	INVEST FINANCIAL CORPORATION	Apr 14, 2009	Apr 7, 2009	-7	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
169877:111147:MI:2017-11-16	Nov 16, 2017	Jan 2, 2025	BRIGHTON, MI	Firm change after gap
12984:140736:MI:2017-06-02	Jun 2, 2017	Jul 15, 2009	BRIGHTON, MI	Firm change after gap

Relationships

Registered with (6)

→ EP WEALTH ADVISORSRegistered adviserregistration: current employment
Jan 2, 2025 to presentfactForm ADV
→ EXECUTIVE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 15, 2009 to Mar 14, 2025factForm ADV
→ 401K GPSRegistered adviserregistration: previous registration
Dec 3, 2013 to Nov 16, 2017factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Apr 7, 2009 to Jun 2, 2017factForm ADV
→ 401K GPS, LLCRegistered adviserregistration: previous registration
Oct 5, 2011 to Dec 24, 2013factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Apr 15, 2008 to Apr 14, 2009factForm ADV

Dated events

Occurred
Mar 14, 2025
Advisor changed firm
Albert Pingree Herzog left Executive Wealth Management, Llc for 401K Gps, Llc (registered 2011-10-05)
Form ADVobserved 6 days ago