# Up North Financial

Up North Financial is a RIA based in Traverse City, United States.

## Overview

- **Organization type:** RIA
- **Headquarters:** Traverse City, United States
- **Region:** North America
- **Address:** Traverse City, Michigan, United States
- **Assets under management:** Undisclosed
- **Website:** upnorthfinancial.com

## Regulatory record

- **Reports private funds:** No

## About

Up North Financial, LLC is a Northern Michigan-based financial services company featuring the flexability and accountability of a certified registered investment advisor.

## People

- Mark D. Herman — Managing Member, Investment Manager
- William Flynn — Investment Manager

## Questions

### Who makes investment decisions at Up North Financial?

Mark D. Herman, CFP and Managing Member, is the primary investment manager. William Flynn assists with client relationships and market research (per the firm's website).

### What is Up North Financial's investment philosophy?

The firm says it delivers quality performance through sound advice and treats each client as its only one. It customizes portfolios to individual financial plans (per the firm's website).

### How does Up North Financial custody client assets?

All client assets are held in custody at Fidelity Investments or its affiliates, National Financial Services LLC and Fidelity Brokerage Services LLC (per the firm's website).

### Where is Up North Financial located and does it have other offices?

The firm's only office is at 223 E State St, Suite 200, Traverse City, Michigan. No additional offices are listed (per the firm's website).

## Related profiles

- [ASC Engineered Solutions](https://altss.com/profile/asc-engineered-solutions)
- [Kallidus](https://altss.com/profile/kallidus-holdings-limited)

---

Last updated: 2026-06-03T20:00:00.000Z

Canonical page: https://altss.com/profile/up-north-management-group

Maintained by Altss — https://altss.com — methodology: https://altss.com/methodology