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Up North Financial, LLC

● SEC registered since 2021CRD 150996SEC# 801-120926Traverse City, MI
Export (members)
Reg. AUM
$186.1M
Employees
4
Accounts
1,010
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 $186.1 million in regulatory assets under management and employs 4 people.
www.upnorthfinancial.comView on SEC.gov ↗

Up North Financial, LLC owners & executives

1 reported
NameTitleOwnershipSince
Mark Donald Herman ControlManaging Member / Chief Compliance OfficerOver 75%2009

Frequently asked questions

How much does Up North Financial, LLC manage?

Up North Financial, LLC reports $186.1 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

Address223 East State Street, Suite 200, Traverse City, MI 49684
Phone(231) 929-9300
Fax(231) 929-9301
Office hours9:30a.m. - 4:00p.m.
SEC regionChicago Regional Office (CHRO)
Discloses disciplinary historyNo

Assets under management

Discretionary$173.4M
Non-discretionary$12.7M
Total (RAUM)$186.1M