← Tributary

UP NORTH FINANCIAL, LLC

TRAVERSE CITY, MI · CRD 150996 · IAPD ↗ · upnorthfinancial.com · (231) 929-9300

$203.8MRegulatory AUM
2Advisory reps
4Employees
0Clients
11-25Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
April 2024 — UP NORTH FINANCIAL, LLC notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
April 2024 — UP NORTH FINANCIAL, LLC reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
60
April 2024 — UP NORTH FINANCIAL, LLC reported RAUM up 29% ($128.5M -> $165.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.