25+ YEARS OF COMPLIANCE EXPERIENCE
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 solutions
for real-world compliance.
BUILT AROUND
HOW YOUR FIRM OPERATES.
HOW YOUR FIRM OPERATES.
01
Compliance Program Development
Establish a strong foundation from day one.
02
Supervisory & Operational Oversight
Build effective supervision and compliance processes.
03
Examination Readiness
Prepare with confidence before the regulator arrives.
04
Registration & Firm Formation
Navigate registration and launch with clarity.
MEET KATHY
Experience that leads. Partnership that lasts.
Kathy Kuria is the Principal of Kuria Consulting, LLC. Over more than twenty-five years in investment adviser, broker-dealer, insurance, and banking compliance, she has built compliance programs, run supervisory oversight, prepared firms for regulatory examinations, and managed the testing and reporting obligations that keep a program credible year after year.
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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