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UP NORTH FINANCIAL, LLC
CRD 150996File 801-120926
APPROVED
Retail clients
Custody
Filing as of Mar 27, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$203.8M
Below cohort median (national)
Discretionary AUM
$202.8M
Non-discretionary $1.0M
Clients
337
1,065 accounts
Employees
4
Below cohort median in MI
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Apr 23, 2021
- Principal office
- 223 EAST STATE STREET, SUITE 200, TRAVERSE CITY, MI, 49684
- Phone
- (231) 929-9300
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $203.8M
- Discretionary AUM
- $202.8M
- Non-discretionary AUM
- $1.0M
- Discretionary accounts
- 1,064
- Non-discretionary accounts
- 1
- Total accounts
- 1,065
- AUM per client
- $605K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $625K |
| High net worth individuals | 57 | $133.9M |
| State or municipal government entities | Fewer than 5 | $62K |
| Individuals (other than high net worth individuals) | 280 | $69.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.