Our Services

Kuria Consulting provides compliance, supervisory, and operational services across the full regulatory lifecycle, from initial registration through examination and ongoing testing. Every engagement is scoped to your firm's size, business model, and budget.

Different firms. Different needs. A clear path forward.

No matter where you are in your compliance journey, Kuria Consulting meets you there—with practical guidance and solutions tailored to your situation.

Starting your own firm

Set up a strong compliance foundation from the start.

Have a program but aren't confident in it

Get an objective assessment and practical recommendations for improvement.

Responsible for supervising people

Build effective supervisory systems and operational controls.

Examination or deficiency letter

Prepare with confidence and respond strategically.

Program is built and needs ongoing support

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

Compliance solutions for every stage of your firm's lifecycle.

Registration & Firm Formation

Support through SEC and state registration, broker-dealer formation, Form ADV and Form U4 filings, amendments, and renewals. Build the right compliance foundation from the start.

Compliance Program Development

Develop compliance manuals, supervisory procedures, codes of ethics, and supporting policies tailored to your firm’s structure, business lines, and regulatory obligations.

Supervisory & Operational Oversight

Strengthen supervisory systems, delegation, escalation structures, remote supervision, and operational controls so responsibilities are clear and oversight works in practice.

Examination Readiness & Regulatory Response

Prepare for regulatory examinations through mock examinations, document-request preparation, examiner interview support, deficiency responses, and guidance through regulatory inquiries.

Ongoing Support, Testing & Training

Maintain and strengthen your compliance program through ongoing support, periodic testing, compliance training, and customized guidance for your team.

A practical, partnership-driven approach.

Kuria Consulting is intentionally structured to provide direct, principal-led support. You work with Dr. Kathy Kuria, not a layered team, which means practical advice, faster decisions, and solutions tailored to your firm.

01

We start with your firm, not a template.

Before any document is drafted, we understand your business lines, your people, your systems, and your records. The program follows the firm.

02

You work with the Principal.

Client load is intentionally limited. The person who assesses your program is the person who builds it.

03

We tell you what you need to hear.

A consultant who only agrees with you is expensive decoration. You will get a direct assessment, prioritized by risk.

04

We build for the day after delivery.

Documents without training, testing, and evidence do not survive examination. Every engagement closes with what happens next and who owns it.

Flexible support for your unique needs.

Project Engagement

A defined scope, a fixed fee, and a delivery date. Best for registration, a manual rebuild, a mock examination, or an annual review.

Ongoing Retainer

A set monthly commitment covering consultation, filings, testing, training, and the compliance calendar. Best for firms without a full-time compliance function.

Advisory Hours

Blocks of time you draw against as questions arise. Best for firms with an in-house CCO who needs additional staffing and a specialist on call.