SEC3
SEC³ Compliance is a US-based, privately held compliance consulting firm providing outsourced CCO, mock audits, SEC registration, and ongoing compliance partnership services to SEC-, NFA-, and FINRA-regulated investment advisers, broker-dealers, and asset managers.
- Company typePrivate
- Founded2003
- HeadquartersNew York, United States
- Headcount11–50
- GTM typeB2B
- OfferingServices
What SEC3 does
SEC³ Compliance is a privately held US compliance consulting firm founded in 2003 that provides outsourced Chief Compliance Officer (CCO) services, mock audits, SEC and state registration support, compliance partnership engagements, independent compliance consulting, and hands-on implementation services to investment advisers, broker-dealers, asset managers, and investment companies regulated by the SEC, NFA, and FINRA. The firm employs 11–50 professionals across five US offices (New York, Washington D.C. as regional headquarters, Dallas, Miami, and Philadelphia), with the Washington D.C. presence positioned near federal regulators and the New York office concentrated on hedge fund and asset management clients.
The firm's core technology is institutional human expertise — specifically, professionals drawn from former SEC regulators, sitting chief compliance officers, securities attorneys, and senior management at registered advisers and broker-dealers — packaged into recurring advisory relationships and project-based engagements. The firm operates without proprietary software products, APIs, or technology platforms; its offering is service-led and sold through direct enterprise engagement rather than channel partnerships or self-serve motion.
SEC³ generates revenue through three streams: subscription/recurring outsourced CCO engagements and ongoing compliance partnerships with investment advisers; project-based services such as SEC and state registrations, mock audits, and targeted compliance reviews; and independent compliance consulting. Pricing is not publicly disclosed and is quote-based per engagement. The firm markets through LinkedIn, YouTube thought leadership, an email newsletter, and a free 'SEC Exam Tips' download as lead generation, and is led by President Janaya Moscony.
SEC3 firmographics
Firmographics- Name
- SEC3
- Legal name
- SEC³ Compliance
- Website
- https://seccc.com
- Company type
- Private
- Founded year
- 2003
- Operating status
- Operating
- Headcount range
- 11–50 employees
- Short description
- SEC³ Compliance is a US-based, privately held compliance consulting firm providing outsourced CCO, mock audits, SEC registration, and ongoing compliance partnership services to SEC-, NFA-, and FINRA-regulated investment advisers, broker-dealers, and asset managers.
- Ownership category
- akta.pro rank
Where SEC3 is headquartered
LocationHeadquarters
- HQ city
- New York
- HQ country
- United States
- HQ region
- North America
Offices5 records
Markets served
SEC3 business model
Business model- GTM type
- B2B
- Offering type
- Services
- Cost components
- Personnel, Operations, Marketing or Sales
Revenue model
- Compliance Consulting Services: Ongoing compliance consulting and advisory services provided to investment advisers, broker-dealers, and fund managers on a retainer or subscription basis. Services include quarterly compliance program support, policy development, and regulatory guidance.
- Outsourced CCO Services: Serving as outsourced Chief Compliance Officer for registered investment advisers and broker-dealers. This ongoing engagement model provides clients with a dedicated compliance officer without maintaining in-house staff.
- Project-Based Compliance Services: One-time and project-based services including SEC registration, mock audits, and compliance reviews. These services address specific compliance needs such as initial registration with SEC, periodic mock examinations, and targeted compliance assessments.
Go-to-market motion1 record
Distribution channels1 record
Marketing channels4 records
SEC3 product offering
Product offeringCore offering
SEC3 provides compliance consulting and regulatory advisory services to investment advisers, broker-dealers, asset managers, and investment companies. Its core offerings cover SEC and state registration, outsourced Chief Compliance Officer (CCO) staffing, mock SEC examinations, ongoing compliance partnership programs, independent compliance consultant (ICC) engagements, and hands-on practical compliance support. Services are delivered by former SEC regulators, CCOs, and securities attorneys across five US offices.
Product overview
SEC3 offers a suite of compliance and regulatory services to private fund advisers, asset managers, investment advisers, investment companies, and broker-dealers. The portfolio consists of six core service offerings: Registration Services (handling SEC and state registrations), Compliance Partnership (ongoing consulting), Mock Audits (exam readiness testing), Outsourced CCO (chief compliance officer staffing), ICC Services (independent compliance consulting), and Practical Compliance (implementation support). These services are delivered by a team of former SEC regulators, chief compliance officers, securities attorneys, and senior management professionals.
Differentiator
Problem solved
Functional benefit
Products and services
- Registration Services
Quantifiable outcome
- Hedge fund client achieved clean SEC exam with no deficiencies (Client since 2004)
- +1 more outcomes
Companies that use SEC3
Customer profileNamed customers3 records
Segments4 records
Ideal customer profiles4 records
SEC3 technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
SEC3 partnerships and signals
Strategic signalScale indicators2 records
Recent moves5 records
Expansion highlights4 records
SEC3 competitors and assessment
Company assessmentBroad incumbents
- ACA Aponix: ACA Aponix is the technology, cybersecurity, and operational risk arm of ACA Group, serving investment advisers with adjacent services to SEC3's offerings. It represents the broader incumbent's expansion into the same client base through tech-enabled services.
- Schulte Roth & Zabel (Investment Management Compliance Practice): Schulte Roth & Zabel is a major law firm with a dedicated investment management compliance practice advising hedge funds, private equity sponsors, and asset managers. It competes with SEC3 on high-end regulatory advisory work for alternative asset managers as part of a broader legal services offering.
Direct peers
- ACA Group (formerly ACA Compliance Group): ACA Group is the largest independent provider of governance, risk, and compliance services to the asset management industry, offering outsourced CCO, compliance consulting, and regulatory technology. It directly competes with SEC3 across the same investment adviser, broker-dealer, and private fund client base.
- Bayfront Compliance Services: Bayfront Compliance Services delivers outsourced CCO and compliance consulting to investment advisers and private fund managers. It is a similarly sized specialist firm competing for the same outsourced compliance engagements as SEC3.
- National Regulatory Services (NRS): NRS offers compliance consulting, regulatory training, and outsourced CCO services to broker-dealers, investment advisers, and insurance producers. It overlaps with SEC3 on the investment adviser and broker-dealer compliance consulting segment.
- Cipperman Compliance Services: Cipperman provides outsourced CCO, compliance program development, and examination preparation services to investment advisers and private funds. Its service mix, client profile, and reliance on ex-SEC examiner talent closely mirror SEC3's positioning.
- Core Compliance: Core Compliance provides outsourced CCO, mock SEC exams, and ongoing compliance program support to investment advisers. Its service catalog directly parallels SEC3's outsourced CCO, Mock Audit, and Compliance Partnership offerings.
- Schapiro-Tew Group: Schapiro-Tew provides regulatory and compliance consulting to investment advisers, broker-dealers, and private funds, led by former SEC and FINRA senior staff. Its positioning around ex-regulator talent is highly comparable to SEC3's core differentiator.
Emerging players
- RIA in a Box: RIA in a Box is a tech-enabled compliance platform serving registered investment advisers with automated compliance manuals, cybersecurity testing, and surveillance tools. It competes with SEC3 for the same small-to-mid RIA compliance budget, but via SaaS rather than human consulting hours.
- Comply (ComplySci / Comply): Comply provides technology-driven compliance, surveillance, and regulatory reporting solutions for investment advisers and broker-dealers. It overlaps with SEC3 on the outsourced compliance function but delivers value through software rather than consulting hours.
Market position
Strengths4 records
Weaknesses4 records
Competitive moat3 records
Key risks5 records
Key highlights6 records
Customer concentration
SEC3 social profiles
Digital presenceSEC3 financial estimates
Financial estimateRevenue estimate
Valuation estimate
SEC3 leadership team
Management profileNumber of profiles
Profiles1 record
SEC3 funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
SEC3 M&A and investment
M&A and investmentM&A
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about SEC3
What does SEC3 do?
SEC3 provides compliance consulting and regulatory advisory services to investment advisers, broker-dealers, asset managers, and investment companies. Its core offerings cover SEC and state registration, outsourced Chief Compliance Officer (CCO) staffing, mock SEC examinations, ongoing compliance partnership programs, independent compliance consultant (ICC) engagements, and hands-on practical compliance support. Services are delivered by former SEC regulators, CCOs, and securities attorneys across five US offices.
Is SEC3 a public or private company?
SEC3 is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was SEC3 founded?
SEC3 was founded in 2003. It employs 11 to 50 people.
Where is SEC3 based?
SEC3 is headquartered in New York, United States, in the North America region.
How does SEC3 make money?
Three revenue lines are on record. Compliance Consulting Services are the primary driver. The others are outsourced CCO Services and project-Based Compliance Services.
Who are SEC3's main competitors?
Broad incumbents on record are ACA Aponix and Schulte Roth & Zabel (Investment Management Compliance Practice). Direct peers are ACA Group (formerly ACA Compliance Group), Bayfront Compliance Services, National Regulatory Services (NRS), Cipperman Compliance Services, Core Compliance and Schapiro-Tew Group. Emerging players are RIA in a Box and Comply (ComplySci / Comply).
Does SEC3 have an API?
No public API is recorded for SEC3.