In Client Assets Under Management.
Providing Compliance Services since August 15th, 2004.
Years of Collective Experience in the Investment Management and Financial Services Industry.
Vigilant is an award-winning and industry-leading firm with over 22 years of expertise. As a full-service Outsourced Compliance Provider, we specialize in offering comprehensive compliance solutions to Registered Investment Advisers (RIAs) and Broker-Dealers. Our clients include a diverse range of RIAs, such as Private Equity firms, Hedge Funds, Closed-End Funds, ETFs, Mutual Funds, Real Estate Funds, and more.
Vigilant also has a FINRA Registered Broker Dealer that provides Registered Representative Services to Third Party Marketers, Wholesalers, M&A activity, Private Placements and more to firms/individuals that target Institutional Clients only. We also provide Statutory Distributor Services (Principal Underwriter) to Registered Funds (ETFs, Closed End/Interval Funds, Mutual Funds) that range from Millions to Multi-Billions in Assets Under Management (AUM). A core function performed within both of those Services is Marketing and Advertising Review through our team of Series 24 Licensed Professionals at a quick turnaround time on Marketing and Advertising material submissions.
About Us Our Team
Vigilant delivers thorough and detailed coverage of SEC Releases, such as Risk Alerts and SEC Enforcement Actions, along with Vigilant Insights and Thought Leadership. With a Team boasting over 850 years of collective experience in the Financial Services and Investment Management industry, we make sure our content is expertly curated and enhanced for optimal relevance and impact.
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SEC Releases Introduction On October 2, 2026, the SEC announced settled charges against an Investment Adviser, an affiliated Fund Manager, and the Adviser’s Principal for […]
Monthly Newsletter Printer Friendly Version In October, there were important releases including SEC Releases and Vigilant Announcements. Below is a brief overview of what took place […]
Vigilant Insights Introduction The SEC has Proposed Amendments to Rule 17a-7 under the Investment Company Act of 1940 that would expand the types of Securities […]
