About Kuria Consulting

Kuria Consulting, LLC is a principal-led compliance consultancy serving registered investment advisers and broker-dealers nationwide. Compliance consulting, principal to principal.

Experience that understands compliance in practice.

Dr. Kathy Kuria is the Principal of Kuria Consulting, LLC, providing compliance, supervisory, and operational consulting 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 controls, prepare for examinations, and manage ongoing testing and reporting obligations.

The document was compliant. The program was not.

Over twenty-five years, I have sat on nearly every side of a compliance conversation: building the program, supervising the people who follow it, answering the examiner’s questions, and explaining to leadership why the answer to a business question is sometimes “no”, and sometimes “not yet”.

What I saw repeatedly was a gap. Small and mid-sized firms were provided template manuals that described a firm they were not, then held to those manuals during examination. The document was compliant. The program was not.

Kuria Consulting exists to close that gap, and to make registration, compliance, and operations a source of confidence rather than anxiety. Every engagement starts with your vision for the firm, how your firm actually operates: who does what, where the records live, and where the pressure points are. From there an accurate, defensible, and genuinely usable compliance program is built, supported by the training and testing that keep the compliance program moving forward after documents are delivered. For those wishing to launch a firm, Kuria Consulting works with you for every step of the registration process.

By maintaining a deliberately limited client roster, every engagement benefits from focused, direct attention.

Kuria Consulting exists to close that gap, and to make compliance a source of confidence rather than anxiety for the firms I serve.

Expertise grounded in how business and regulation work together.

Kuria Consulting brings practical expertise to the needs firms encounter at every stage, including formation, program development, regulatory registration, supervisory oversight, examination preparation, training, operations, and governance.

Compliance Program Design & Build-Out

Compliance manuals, supervisory procedures, codes of ethics, and supporting policies built around the firm's structure and business lines.

Supervisory Oversight & Operational Controls

Supervisory systems, delegation, escalation structures, remote supervision, and operational controls.

Registration & Regulatory Filings

SEC and state registration, broker-dealer formation support, Form ADV, Form U4, amendments, and renewals.

Examination Preparation & Regulatory Response

Mock examinations, document requests, examiner interviews, deficiency responses, and regulatory inquiries.

Training & Curriculum Development

Firm-wide and annual compliance training, code of ethics training, role-specific curricula, and practical guides.

Research & Governance Insight

Research on trust, representation, governance, leadership signaling, and culture of compliance.

A foundation of education, credentials, and continued engagement.

Kathy’s professional background combines advanced business education, industry credentials, and continued involvement with the financial-services compliance community.

Education

Doctor of Business Administration

Prairie View A&M University

MBA, Finance

University of St. Thomas

BBA, Finance

Texas Southern University

Professional Credentials

IACCP

Investment Adviser Certified Compliance Professional

Active Registrations

Series 7 · Series 24 · Series 53 Series 63 · Series 65

Membership and Affiliations

Houston Compliance Roundtable

Co-Manager

National Society of Compliance Professionals

Member

Association of African American Financial Advisors

Member

Investment Adviser Association Workplace Culture & Inclusion Committee

Founding Member

National Association of Black Compliance and Risk Management Professionals

Member

Compliance expertise extends beyond the engagement.

Kathy’s speaks on diversity and representation in financial services, career development in financial-services compliance, and the intersection of culture, governance, and compliance. Her scholarship and practitioner-focused writing examine representation, leadership signaling, trust, and organizational governance.

Research

Kathy’s scholarship and practitioner-focused writing examines representation in financial advisory, leadership signaling, trust, and organizational governance.

Speaking

Kathy speaks on diversity and representation in financial services, as well as career development within financial-services compliance.

Training

Kathy develops training curricula and practical guides for compliance professionals and financial-services organizations.