TRAVERSE CITY, MICRD 150996Latest ADV March 27, 2026
Up North Financial, LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Traverse City, MI. Its latest Form ADV filing, dated March 27, 2026, reports $204M in regulatory assets under management, 4 employees, and 1,065 accounts.
Assets Under Management
$204M
Employees
4
Offices
--
Total Clients
337
Primary office
TRAVERSE CITY, MI
223 EAST STATE STREET, SUITE 200, TRAVERSE CITY, MI, United States
Portfolio management for individuals and small businesses
Fee models offered
2 types reported
Asset based fees
Fixed fees
Sources checked May 16, 2026
Client Coverage Demographics
Top client segmentIndividuals represent 83.1% of total clients.
Top client categories% of clientsClients
1
Individuals
83.1%
280
2
HNWI
16.9%
57
Categories with <5 clients
Charitable Organizations<5 clients
State or municipal government entities (including govt. pension plans)<5 clients
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$204Mas of March 27, 2026
Discretionary99.5%
$203M
100% of total RAUM99.5%
Non-discretionary0.5%
$1M
0% of total RAUM0.5%
Regulatory assets under management are split between discretionary and non-discretionary assets.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM$204M
Total Accounts1,065
10Y AUM Change+$97M (+90.2%)
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees4
Clients per Employee84:1
10Y Employee Change+2 (+100.0%)
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.