Zuna - Financial Strategy & Employee Benefits

Registered Investment Advisor providing tailored 401(k) and Employee Benefit solutions

Financial consultant in Portland, OR (show on map)

RIA specializing in comprehensive 401(k) consulting, fiduciary governance, and employee financial wellness for retirement plans.

Call (971) 357-3990

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About

Team Zuna is a Registered Investment Advisor (RIA) providing clients with tailored 401(k) and Employee Benefit solutions in the Wealth and Investment Management arena. They exercise deep knowledge and experience across Plan Design, Administration, Recordkeeping, Investment Options, Employee Engagement, and Regulatory Compliance.

Zuna assumes a lead role working with Service Providers, Company Management, Plan Trustees, and Participants to improve efficiency and financial outcomes. Their services include comprehensive diagnostics, fiduciary governance, investment selection and monitoring, operations and compliance, and employee engagement and financial wellness programs.

Registered Investment Advisor (RIA) with deep expertise in 401(k) and Employee Benefit solutions

Comprehensive orchestration of plan design, administration, investment, compliance, and employee engagement under one roof

Lead role working with Service Providers, Company Management, Plan Trustees, and Participants

Fiduciary governance support including investment policy statements and committee charters

ERISA Section 3(38) investment management available at no additional cost

No ancillary product sales — pure focus on employee financial wellness and education

Audit-ready online portal for document sharing between Zuna and clients

Team combines operational experience with financial advisory expertise

Services

Comprehensive 401(k) Consulting

Full-spectrum consulting covering plan design, administration, recordkeeping, investment options, employee engagement, and regulatory compliance for retirement plans.

Plan Design and Document review Administration and Recordkeeping oversight Investment Options analysis Employee Engagement strategies Regulatory Compliance assurance

Diagnostics

Comprehensive retirement plan diagnostic report comparing plan documents with operations, benchmarking services and pricing, analyzing investments, and reviewing employee education resources.

Compliance comparison of plan document vs. operations Design alignment with goals and objectives Service agreement benchmarking Investment scorecard for each fund Employee education resource review Operational risk assessment

Fiduciary Governance

Establish and maintain fiduciary governance structures including investment policy statements, committee charters, training, and meeting management.

Investment policy statement creation Fiduciary committee charter Ongoing fiduciary training Regulatory updates for committee Meeting agendas and minutes

Investment Selection and Monitoring

Design investment menus, select core mutual funds and Target Date series, implement QDIA, provide ESG screens, and serve as ERISA Section 3(38) investment manager.

Core mutual fund selection Target Date Fund series design QDIA selection aligned with DOL best practices ESG consideration screens ERISA Section 3(38) investment management Quarterly scoring and reporting

Employee Engagement & Financial Wellness

On-site employee education, one-on-one sessions, videos, educational content creation, and financial literacy programs to drive 401(k) participation and financial health.

On-site employee education sessions One-on-one financial wellness meetings Video and content creation Financial literacy programs Enrollment support for new hires and existing employees No ancillary product sales

Operations and Compliance

Ongoing compliance monitoring, service provider benchmarking, operational process review, regulatory notice coordination, and audit-ready portal management.

Annual compliance comparison Service provider benchmarking Day-to-day operations tracking Regulatory notice coordination Audit-ready online portal Unlimited call support

Credentials & Certifications

Registered Investment Advisor (RIA)

CFP® (Certified Financial Planner)

AIF® (Accredited Investment Fiduciary)

CIMA® (Certified Investment Management Analyst)

Frequently Asked Questions

What type of business is Team Zuna? +

Team Zuna is a Registered Investment Advisor (RIA) providing tailored 401(k) and Employee Benefit solutions in the Wealth and Investment Management arena.

What services does Team Zuna offer for 401(k) plans? +

Team Zuna offers comprehensive 401(k) consulting including diagnostics, fiduciary governance, investment selection and monitoring, operations and compliance, and employee engagement and financial wellness programs.

Does Team Zuna sell ancillary financial products? +

No. Team Zuna explicitly states they do not sell ancillary products or services as part of Employee Education services; they focus on helping employees understand the benefit offering and drive financial wellness.

What is the role of fiduciary governance in a 401(k) plan? +

Fiduciary governance includes providing plan governance documents (investment policy statement, fiduciary committee charter), conducting ongoing fiduciary training, attending committee meetings, and preparing agendas and minutes.

What is a QDIA and how does Team Zuna handle it? +

A QDIA (Qualified Default Investment Alternative) is a default investment option aligned with Department of Labor best practices. Team Zuna selects and documents a QDIA process and can serve as ERISA Section 3(38) investment manager at no additional cost.

How does Team Zuna support employee financial wellness? +

Team Zuna provides on-site employee education, one-on-one sessions, videos, educational content creation, financial literacy programs, and ongoing support via phone, email, or video — all focused on the employer-sponsored 401(k).

What credentials do Team Zuna's advisors hold? +

Team Zuna's team includes a CFP® (Aalok Shah), an AIF® (Carrie Hepburn), and a CIMA® (Katrina Bell).

Where is Team Zuna located? +

Team Zuna is located at 3903 S. Kelly Ave, Portland, OR 97239.