Up North Financial, LLC
● SEC registered since 2021CRD 150996SEC# 801-120926Traverse City, MI
Reg. AUM
$203.8M
Employees
4
Accounts
1,065
Location
Traverse City, MI
Up North Financial, LLC assets under management
Up North Financial, LLC is an SEC-registered investment adviser based in Traverse City, MI. The firm has been registered since 2021. It reports $203.8 million in regulatory assets under management and employs 4 people.
Up North Financial, LLC owners & executives
1 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Mark Donald Herman Control | Managing Member / Chief Compliance Officer | Over 75% | 2009 |
Frequently asked questions
How much does Up North Financial, LLC manage?
Up North Financial, LLC reports $203.8 million in regulatory assets under management on its Form ADV.
How many employees does Up North Financial, LLC have?
Up North Financial, LLC reports 4 employees.
Where is Up North Financial, LLC located?
Up North Financial, LLC is based in Traverse City, MI and has been SEC-registered since 2021.
Does Up North Financial, LLC disclose fund performance?
Up North Financial, LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 223 East State Street, Suite 200, Traverse City, MI 49684 |
| Phone | (231) 929-9300 |
| Fax | (231) 929-9301 |
| Office hours | 9:30a.m. - 4:00p.m. |
| SEC region | Chicago Regional Office (CHRO) |
| Discloses disciplinary history | No |
Regulatory AUM
$203.8M▲ 10%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 74%
Larger than 26% of 16,271 advisers
EmployeesTop 69%
More than 31% of 16,825 advisers
Assets under management
$203.8Mregulatory AUM
Discretionary $202.8MNon-discretionary $1M