Sec Compliance Consultants, Inc

What Sec Compliance Consultants, Inc does

SEC Compliance Consultants, Inc (SEC³) is a US-based independent compliance consulting firm founded in 2005 by Janaya P. Moscony, CFA, headquartered across five regional offices in New York, Miami, Dallas, Philadelphia, and Washington, D.C. The firm provides SEC, NFA, and FINRA compliance services to SEC-registered investment advisers, private fund advisers, broker-dealers, commodity pool operators (CPOs) and commodity trading advisors (CTAs), and investment companies. Its service portfolio spans five core lines: Registration Services (IARD access, Form ADV preparation, registration filings, tailored policies and procedures), Compliance Partnership (annual reviews, Form ADV amendments, compliance training, regulatory filings, SEC exam assistance, quarterly committee meetings), Mock Audits (gap analysis and remediation), Outsourced Chief Compliance Officer delivery (via affiliate CCO Compliance Services, LLC / "CCO³"), and Independent Compliance Consultant (ICC) services for SEC enforcement proceedings.

The firm's differentiating asset is its talent bench: professionals who have served as SEC regulators, chief compliance officers, securities attorneys, and senior management at investment advisers, broker-dealers, and fund administrators, with staff having conducted thousands of examinations. The firm's underlying technology layer is a tightly integrated methodology around the Orion Compliance (formerly BasisCode) software platform, where SEC³ holds an original-member seat on the Steering Committee and has co-developed product features. This integration, applied against each client's written policies and procedures, is positioned as the firm's real-time, holistic compliance-program view.

SEC³ operates a relationship-driven enterprise sales motion with both project-based and recurring subscription engagements; pricing is quote-based and not publicly disclosed. Customers are predominantly regulated enterprise clients, with testimonial evidence of multi-decade retention (clients since 2004, 2012, and 2018) across private equity, hedge fund, and ETF manager segments. The firm is founder-owned and privately held, with no external funding or parent company identified in the input data.

Name

Sec Compliance Consultants, Inc

Legal name

SEC Compliance Consultants, Inc

Website

https://sec3compliance.com

Company type

Private

Founded year

2005

Operating status

Operating

Short description

SEC Compliance Consultants, Inc (SEC³) is a US-based independent compliance consulting firm providing SEC, NFA, and FINRA regulatory services—including registration, ongoing compliance partnerships, mock audits, outsourced CCO functions, and ICC services—to investment advisers, broker-dealers, private fund advisers, and investment companies.

Ownership category

akta.pro rank

Headquarters

HQ city

New York

HQ country

United States

HQ region

North America

Offices5 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel

Revenue model

1. Compliance Consulting Services: SEC³ provides customizable compliance services for investment advisers, private fund advisers, CPOs, CTAs, investment companies, institutional investors and broker-dealers which can complement internal compliance programs on a one-time or recurring basis depending on client needs.
2. Compliance Partnership Programs: Long-term compliance support partnerships with defined responsibilities, regular compliance calls, and ongoing reporting schedules. Services include Tailored Compliance Support, Chief Compliance Officer Support, and Outsourced Chief Compliance Officer options.

Go-to-market motion1 record

Distribution channels1 record

Marketing channels6 records

Core offering

SEC³ provides independent compliance consulting and outsourced Chief Compliance Officer services to investment advisers, private fund advisers, broker-dealers, CPOs/CTAs, and investment companies. The firm delivers SEC, NFA, and FINRA registration support, long-term compliance partnerships, mock audits, and Independent Compliance Consultant (ICC) services for enforcement proceedings, integrating Orion Compliance software with clients' written policies and procedures for real-time compliance visibility.

Product overview

SEC³ Compliance Consultants offers a suite of compliance consulting services for investment advisers, private fund advisers, broker-dealers, CPOs, CTAs, and investment companies. The portfolio includes five core service offerings: Registration Services (handling SEC/NFA/FINRA filings and Form ADV documentation), Compliance Partnership (tailored support tiers from supplemental assistance to full outsourced CCO), Mock Audits (exam preparedness and gap analysis), ICC Services (independent compliance consultant for enforcement proceedings), and Outsourced CCO (full compliance program management via affiliate CCO³). The firm also leverages Orion Compliance software as a technology platform to deliver these services, integrating the software's compliance management modules with clients' written policies and procedures.

Differentiator

Problem solved

Functional benefit

Brands

• CCO³ (CCO Compliance Services, LLC): Affiliated entity providing outsourced Chief Compliance Officer services through SEC³'s network.

Products and services

• Registration Services Comprehensive SEC, NFA, and FINRA registration support including IARD access, Form ADV preparation, registration filing, and tailored Policies & Procedures documentation for investment advisers, private fund advisers, CPOs, CTAs, investment companies, and broker-dealers.
• Compliance Partnership Long-term compliance support partnership offering Tailored Compliance Support, Chief Compliance Officer Support, or Outsourced CCO tiers with services including annual reviews, Form ADV amendments, compliance training, regulatory filings, SEC exam assistance, and quarterly committee meetings.
• Mock Audits Proactive compliance program assessment and exam preparedness evaluation including gap analysis, tailored remediation recommendations, and follow-up meetings with senior firm members to ensure readiness for regulatory examinations.
• Outsourced Chief Compliance Officer (CCO) Full outsourced CCO services delivered through affiliate CCO Compliance Services, LLC (CCO³), providing complete compliance program management for firms seeking alternatives to hiring full-time in-house CCOs, with focus on compliance culture, regulatory expertise, communication, authority, and proactive program design.
• ICC (Independent Compliance Consultant Services) Independent compliance consultant services for SEC enforcement proceedings, providing oversight and remediation support as required by regulators, with customized engagement based on scope and timing specified in SEC Orders.

Quantifiable outcome

• Clean SEC examinations achieved for long-term clients
• +1 more outcomes

Named customers3 records

Segments6 records

Ideal customer profiles5 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature1 record

Partnerships

Two partnerships are on record, tiered core.

• Orion Compliance (formerly BasisCode Compliance)coreTechnology or IntegrationSEC³ has partnered with Orion Compliance, an unaffiliated provider of a suite of robust compliance software solutions used by leading financial services, consulting, legal, accounting, fund administrators and broker-dealer organizations. SEC³ serves as an original member of BasisCode's Steering Committee and has developed a strong working relationship with Orion Compliance, helping drive the creation of new and enhanced features. SEC³ utilizes Orion Compliance's platform integrated with client written policies and procedures.
• CCO Compliance Services, LLC (CCO³)coreStrategic or Co-development PartnerSEC³ provides Outsourced CCO Partnership services through its affiliate CCO Compliance Services, LLC (CCO³). When clients outsource the CCO function, SEC³ is responsible for managing the entirety of the firm's compliance program and assuming the role of CCO through this affiliate arrangement.

Scale indicators3 records

Recent moves6 records

Expansion highlights5 records

Direct peers

• National Regulatory Services (NRS): NRS provides compliance consulting, education, and registration services for investment advisers and broker-dealers, similar to SEC³'s mix of registration, training, and ongoing compliance support.
• Core Compliance: Core Compliance offers outsourced CCO services and compliance consulting for investment advisers, private funds, and broker-dealers. It is a like-sized boutique competitor to SEC³ in the outsourced compliance market.
• ACA Group: ACA Group is the largest dedicated provider of outsourced compliance, CCO, and GRC services to investment advisers, broker-dealers, and hedge funds. It is the closest direct competitor to SEC³ in outsourced CCO and compliance partnership services.
• Cipperman Compliance Services: Cipperman is a specialized outsourced CCO and compliance consulting firm serving investment advisers, private funds, and broker-dealers. It competes head-to-head with SEC³ in the outsourced CCO and Compliance Partnership niches.
• Trilogy Compliance Services: Trilogy provides outsourced compliance, CCO, and regulatory services for investment advisers and broker-dealers, competing directly with SEC³ on outsourced CCO and mock audit offerings.

Broad incumbents

• Deloitte Risk & Financial Advisory: Deloitte provides financial services regulatory and compliance advisory for asset managers and broker-dealers as part of a broad risk practice. It competes with SEC³ primarily on enterprise and cross-border engagements.
• PwC Asset Management Regulatory Services: PwC serves investment advisers and asset managers with regulatory and compliance advisory as part of its broader financial services practice. It is a broad incumbent that competes with SEC³ on enterprise-scale mandates.
• EY Financial Services Risk Management: EY's financial services risk practice serves investment advisers and broker-dealers with regulatory and compliance advisory services. It is a broad incumbent that overlaps with SEC³ on large asset manager engagements.
• KPMG Financial Services Regulatory: KPMG's financial services regulatory practice serves investment advisers and broker-dealers with compliance, risk, and regulatory advisory services. It is a broad incumbent that competes with SEC³ on larger enterprise engagements.

Others

• Orion Compliance (formerly BasisCode): Orion Compliance (formerly BasisCode) is SEC³'s core technology partner and provider of compliance software used by SEC³ across its engagements. It is an enabling ecosystem participant rather than a direct competitor to SEC³'s consulting services.

Market position

Strengths1 record

Weaknesses5 records

Competitive moat5 records

Key risks5 records

Key highlights7 records

Customer concentration

• YouTubeyoutube.com/@SEC_3
• LinkedInlinkedin.com/company/sec3-and-cco3

Revenue estimate

Valuation estimate

Number of profiles

Profiles2 records

Subsidiaries1 record

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Sec Compliance Consultants, Inc