COMPLIANCE TODAY. A STRONGER TOMORROW

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.

25+

Years of experience

IACCP

Certified Professional

4

FIRM STAGES

5

ACTIVE REGISTRATIONS

MEET the founder

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 in investment adviser, broker-dealer, insurance, and banking compliance.

Dr. Kuria helps firms navigate registration, develop practical compliance programs, strengthen supervisory controls, prepare for regulatory examinations, and manage ongoing testing and reporting obligations.

Regulatory Insight Clear Action Principal-Led 25+ Years of Experience RIA & Broker-Dealer Compliance Examination Readiness Practical Solutions

Our SERVICES

Experienced guidance. Practical compliance.

Compliance Program Development

Build practical programs tailored to your firm.

Supervisory & Operational Oversight

Strengthen controls, processes, and documentation.

Examination Readiness

Prepare your firm for regulatory examinations.

Registration & Firm Formation

Build the right compliance foundation from the start.

Ongoing Support, Testing & Training

Maintain, test, and strengthen your compliance program over time.

Regulatory Insight Clear Action Principal-Led 25+ Years of Experience RIA & Broker-Dealer Compliance Examination Readiness Practical Solutions

WHO WE SERVE

Guidance For Firms at every stage

We work with firms that are launching, growing, restructuring, or repairing—as well as firms that simply want a second set of experienced eyes before the regulator brings their own.

Launching

Establish a strong foundation from day one.

Growing

Establish a strong Scale with the right compliance infrastructure.

Restructuring

Navigate transitions with confidence.

Repairing

Address challenges and strengthen for what's next.

Let's Talk

Let's talk about where your program stands.

A short conversation is usually enough to identify your two or three highest-priority gaps. There is no cost and no obligation.

Compliance, supervisory, and operational consulting for registered investment advisers and broker-dealers.

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Contact Details

Have a question or want to discuss your compliance needs? We’re here to help.

info@kuriaconsulting.com
713-240-2793

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