SEC Compliance Solutions
SEC Compliance Solutions LLC is a privately held US compliance consulting firm in Medford, Oregon, that provides new adviser setup, mock SEC exams, annual compliance reviews, and Form 13H filing services to Registered Investment Advisers and private fund advisers, supported by a content-led go-to-market.
- Company typePrivate
- Founded2017
- HeadquartersMedford, United States
- Headcount1–10
- GTM typeB2B
- OfferingServices
What SEC Compliance Solutions does
SEC Compliance Solutions LLC is a privately held US compliance consulting firm headquartered in Medford, Oregon, that partners with Registered Investment Advisers (RIAs) to navigate SEC regulatory requirements. The company was founded in 2017 and operates with a small team of 1-10 employees under an LLC structure, with no disclosed institutional funding, parent company, or subsidiaries. Its leadership comprises CEO and Lead Consultant Elizabeth Cope and President and Senior Lead Consultant Katie Mogan, supported by credentialed compliance specialists holding IACCP® and CSCP designations.
The firm delivers three core service products: New Adviser Setup (registration, policy and procedure development for newly registering RIAs), Mock SEC Exam (examination preparedness and gap remediation), and Annual Compliance Review (recurring compliance program support). Adjacent offerings include a Form 13H large trader filing service and educational resources such as the 'Compliant Marketing' eBook and an annual RIA Compliance Calendar. Revenue is generated through professional services consulting fees on direct engagements, with no public pricing and no software, API, or platform component.
SEC Compliance Solutions targets three primary client segments: newly registering investment advisers, established RIAs seeking ongoing support and exam preparation, and private fund advisers with specialized Form PF and alternative-asset compliance needs. Go-to-market is content-led, relying on blog content, an email newsletter, free resources, and LinkedIn distribution to drive inbound engagement with RIA decision-makers across the United States. The firm positions itself as a cost-effective alternative to in-house compliance staffing, emphasizing practical policy implementation over technology enablement.
SEC Compliance Solutions firmographics
Firmographics- Name
- SEC Compliance Solutions
- Legal name
- SEC Compliance Solutions LLC
- Website
- https://seccsllc.com
- Company type
- Private
- Founded year
- 2017
- Operating status
- Operating
- Headcount range
- 1–10 employees
- Short description
- SEC Compliance Solutions LLC is a privately held US compliance consulting firm in Medford, Oregon, that provides new adviser setup, mock SEC exams, annual compliance reviews, and Form 13H filing services to Registered Investment Advisers and private fund advisers, supported by a content-led go-to-market.
- Ownership category
- akta.pro rank
SEC Compliance Solutions industry classification
Industry- Product category
- Regulatory Compliance Consulting
- NAICS
- Investment Banking and Securities Intermediation (523150)
- SIC
- Finance Services (6199)
- akta.pro primary industry
- Financial Crime Compliance (AML/KYC/Sanctions) (BPAEAPAK)
- akta.pro secondary industries
- Risk Controls & Pre-/Post-Trade Compliance (Best Execution, Limits, Suitability) (FSAFAKAJ), KYC/Client Due Diligence & Participant Onboarding Controls (FSAFAKAF)
Keywords
Where SEC Compliance Solutions is headquartered
LocationHeadquarters
- HQ city
- Medford
- HQ country
- United States
- HQ region
- North America
Offices1 record
Markets served
SEC Compliance Solutions business model
Business model- GTM type
- B2B
- Offering type
- Services
- Cost components
- Personnel, Operations, Marketing or Sales
Revenue model
- Compliance Consulting Services: Professional compliance consulting services for Registered Investment Advisers including new adviser setup, mock SEC exam preparation, and annual compliance review services. Revenue is generated through consulting fees for these service engagements.
Go-to-market motion1 record
Distribution channels1 record
Marketing channels4 records
SEC Compliance Solutions product offering
Product offeringCore offering
SEC Compliance Solutions is a professional compliance consulting firm that partners with new investment advisers, established Registered Investment Advisers (RIAs), and private fund advisers. It sells three core service engagements — New Adviser Setup (registration and policy development), Mock SEC Exam (examination preparedness), and Annual Compliance Review (ongoing compliance support) — and also handles Form 13H large trader filings. Services are delivered directly by a team of compliance consultants at a fraction of the cost of building internal compliance staff.
Product overview
SEC Compliance Solutions is a compliance consulting firm offering a suite of advisory services for registered investment advisers (RIAs), private fund advisers, and new advisers. The core service portfolio includes three primary offerings: New Adviser Setup (registration and policy development), Mock SEC Exam (examination preparedness), and Annual Compliance Review (ongoing compliance support). These are complemented by educational resources including a free Compliant Marketing eBook and annual RIA Compliance Calendar. The company also provides assistance with Form 13H large trader filings. SEC Compliance Solutions positions itself as a compliance partner rather than a software platform, helping RIAs navigate SEC regulations through consulting, education, and support services.
Differentiator
Problem solved
Functional benefit
Products and services
- New Adviser Setup Comprehensive registration and compliance setup service for new investment advisers, including accurate SEC registration, education on business-specific rules, and the development of practical and fully compliant policies and procedures.
- Mock SEC Exam SEC examination preparation service that reveals compliance gaps, provides education and resources to strengthen weaknesses, and prepares employees for interactions with SEC staff.
- Annual Compliance Review Annual compliance review service providing practical policies, streamlined procedures, and methodical annual review support to simplify SEC compliance for registered investment advisers.
- Form 13H Filing Service Form 13H large trader filing service for investment advisers meeting trading thresholds, including initial, annual, amended, inactive, termination, and reactivated status filings.
Companies that use SEC Compliance Solutions
Customer profileNamed customers1 record
Segments3 records
Ideal customer profiles3 records
SEC Compliance Solutions technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
SEC Compliance Solutions partnerships and signals
Strategic signalRecent moves6 records
Expansion highlights4 records
SEC Compliance Solutions competitors and assessment
Company assessmentEmerging players
- RegEd: Compliance technology and services provider for financial services firms, including adviser compliance training, licensing, and policy management that overlaps with SCS's manual consulting.
- ComplySci: Compliance technology platform serving investment advisers with automated marketing rule reviews, trade surveillance, and code of ethics administration — a tech-enabled substitute for parts of SCS's service.
Broad incumbents
- ACA Compliance Group: Large-scale compliance consultancy offering advisory, technology, and managed services across the financial services sector; competes directly in RIA compliance while serving a much broader market.
- Smarsh: Large compliance and communications platform serving financial firms with archiving, surveillance, and oversight capabilities; represents the broader-tech competitive threat to manual compliance consultancies.
Direct peers
- National Regulatory Services (NRS): Long-standing compliance consulting and education provider for broker-dealers and investment advisers, offering registration, examination prep, and ongoing compliance support comparable to SCS's three core products.
- Compliance Risk Concepts (CRC): RIA-focused compliance consultancy providing CCO outsourcing, mock SEC exams, and annual reviews — directly comparable service mix to SEC Compliance Solutions.
- Beacon Compliance: Specialist RIA compliance firm delivering mock SEC exams, annual reviews, and CCO support — a close functional peer to SEC Compliance Solutions.
- Cipperman Compliance Services: Specialist compliance consulting firm serving RIAs and private fund advisers with services closely overlapping SEC Compliance Solutions' New Adviser Setup, mock exam, and annual review offerings.
- RIA Compliance Consultants, Inc. Independent RIA compliance consultancy offering registration, mock exam, and ongoing review services — a head-to-head competitor for SEC Compliance Solutions in the small-to-mid RIA segment.
Others
- Investment Adviser Association (IAA): Trade association for SEC-registered investment advisers; not a direct competitor, but shapes adviser expectations on compliance and serves as a referral ecosystem participant relevant to SCS's buyer base.
Market position
Strengths4 records
Weaknesses4 records
Competitive moat4 records
Key risks5 records
Key highlights5 records
Customer concentration
SEC Compliance Solutions social profiles
Digital presenceSEC Compliance Solutions financial estimates
Financial estimateRevenue estimate
Valuation estimate
SEC Compliance Solutions leadership team
Management profileNumber of profiles
Profiles5 records
SEC Compliance Solutions funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
SEC Compliance Solutions 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 SEC Compliance Solutions
What does SEC Compliance Solutions do?
SEC Compliance Solutions is a professional compliance consulting firm that partners with new investment advisers, established Registered Investment Advisers (RIAs), and private fund advisers. It sells three core service engagements — New Adviser Setup (registration and policy development), Mock SEC Exam (examination preparedness), and Annual Compliance Review (ongoing compliance support) — and also handles Form 13H large trader filings. Services are delivered directly by a team of compliance consultants at a fraction of the cost of building internal compliance staff.
Is SEC Compliance Solutions a public or private company?
SEC Compliance Solutions is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was SEC Compliance Solutions founded?
SEC Compliance Solutions was founded in 2017. It employs 1 to 10 people.
Where is SEC Compliance Solutions based?
SEC Compliance Solutions is headquartered in Medford, United States, in the North America region.
How does SEC Compliance Solutions make money?
One revenue line is on record: compliance Consulting Services.
Who are SEC Compliance Solutions's main competitors?
Emerging players on record are RegEd and ComplySci. Broad incumbents are ACA Compliance Group and Smarsh. Direct peers are National Regulatory Services (NRS), Compliance Risk Concepts (CRC), Beacon Compliance, Cipperman Compliance Services and RIA Compliance Consultants, Inc.. Investment Adviser Association (IAA) is listed as an others.
Does SEC Compliance Solutions have an API?
No public API is recorded for SEC Compliance Solutions.
What industry is SEC Compliance Solutions in?
SEC Compliance Solutions's product category is Regulatory Compliance Consulting. Its primary akta.pro industry code is BPAEAPAK, Financial Crime Compliance (AML/KYC/Sanctions), with a secondary code of FSAFAKAJ, Risk Controls & Pre-/Post-Trade Compliance (Best Execution, Limits, Suitability). Its NAICS code is 523150 and its SIC code is 6199.