Compliance, supervisory, and operational consulting
for registered investment advisers and broker-dealers.
Kuria Consulting helps registered investment advisers and broker-dealers build compliance and supervisory programs that fit how the firm actually works.
HOUSTON, TEXAS
SERVING FIRMS NATIONWIDE
SERVICES
Practical guidance
Confident oversight.
BUILT AROUND
HOW YOUR FIRM OPERATES.
HOW YOUR FIRM OPERATES.
MEET KATHY
Experience that leads. Partnership that lasts.
Dr. Kathy Kuria is the Principal of Kuria Consulting, LLC, providing compliance, supervisory, and operational consulting services to registered investment advisers and broker-dealers. Drawing on more than 25 years of experience, Kathy helps firms navigate registration, develop practical compliance programs, strengthen supervisory oversight, prepare for regulatory examinations, and manage testing and reporting obligations that keep a program credible year after year.
COMPLIANCE CONSULTING,
PRINCIPAL TO PRINCIPAL.
PRINCIPAL TO PRINCIPAL.
WHO WE SERVE
Guidance For Firms at every stage
We work with firms that are launching, growing and sustaining their operations, restructuring or strengthening their compliance programs, as well as firms that want a second set of experienced eyes before the regulator brings their own.
Launching
Navigate the registration process and establish a strong foundation from day one.
Growing & Sustaining
Scale and maintain an effective compliance program with ongoing support.
Restructuring
Navigate changes in leadership, operations, or business strategy with confidence.
Strengthening
Address compliance challenges, remediate, and strengthen your program.
