ZUNA, LLC
Adviser information for ZUNA, LLC last updated from Form ADV on February 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Oregon, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 54 | $279.3M |
| Non-Discretionary | 2 | $10.5M |
| Total | 56 | $289.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 55 | $276.4M |
| Charitable organizations | <5 | $13.4M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-117623 |
|---|---|
| SEC ERA File Number | 801-117623 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306113 |
| Legal Entity Identifier | None |
Principal Office
3903 S KELLY AVEPORTLAND
OR
United States
Monday - Friday, 8:30 - 5:00
Tel: 971-339-5701, Fax: None
Chief Compliance Officer
AALOK SHAH
MANAGER
3903 S KELLY AVE
PORLAND
OR
United States
Tel:
971-339-5701
A****@***********M
(Full email address available in API data)
Industry Affiliates
| HARBOUR INVESTMENT MANAGEMENT L.L.C. | Other investment adviser, including financial planners |
| ZUNA CONSULTING, LLC | Pension consultant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHAH, AALOK, KIRIT | Individual | – | MANAGER & CCO | 10/2019 | < 5% |
| Hepburn, Carrie, Anne | Individual | – | MANAGER | 10/2019 | < 5% |
| SHAH, AALOK, KIRIT | Individual | LAIR HILL PARTNERS, INC. DBA ZUNA HOLDINGS | DIRECTOR & SHAREHOLDER | 11/2019 | 50-75% |
| Hepburn, Carrie, Anne | Individual | LAIR HILL PARTNERS, INC. DBA ZUNA HOLDINGS | DIRECTOR & SHAREHOLDER | 11/2019 | |
| LAIR HILL PARTNERS, INC. DBA ZUNA HOLDINGS | Domestic Entity | – | SOLE OWNER | 11/2019 | > 75% |
| Koleno, Greg, Lee | Individual | LAIR HILL PARTNERS, INC. DBA ZUNA HOLDINGS | DIRECTOR & SHAREHOLDER | 12/2019 | 25-50% |