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UP NORTH FINANCIAL, LLC
CRD 150996File 801-120926
APPROVED
Retail clients
Custody
Filing as of Mar 27, 2026
Feed vintage Oct 1, 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 | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 334 | 337 | increased by3 |
| Apr 1, 2026 | AUM | $186,101,656 | $203,787,588 | increased by$17,685,932 |
| Apr 1, 2026 | Accounts | 1,010 | 1,065 | increased by55 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 2 | 4 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 270 | 334 | increased by64 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $133,962,045 | $186,101,656 | increased by$52,139,611 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 786 | 1,010 | increased by224 |
| Apr 1, 2022 | Clients | 250 | 270 | increased by20 |
| Apr 1, 2022 | AUM | $107,167,681 | $133,962,045 | increased by$26,794,364 |
| Apr 1, 2022 | Accounts | 730 | 786 | increased by56 |
| May 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “UP NORTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“UP NORTH” may also match similarly-named firms). Confirm identity against each filing.
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.