Undisclosed Conflicts Lead to $125k SEC Enforcement
July 17, 2026SEC Releases Introduction The SEC recently announced settled charges for a civil penalty of $125,000 against a former registered investment adviser representative for failing to […]
Over $5 Trillion
In Client Assets Under Management.
Over 21 Years
Providing Compliance Services since August 15th, 2004.
Over 675+
Years of Collective Experience in the Financial Services Industry.
Vigilant
Vigilant is an award-winning and industry-leading firm with over 21 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
Industry Trusted
Industry Insights
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 675 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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Vigilant Shortlisted for 2026 Hedgeweek US Awards
July 17, 2026Vigilant Announcements After getting the four (4) peat last year for the Hedgeweek US Awards as the Best Regulatory Advisory & Compliance Firm, Vigilant looks to make it a fifth consecutive […]
Vigilant Shortlisted for 2026 Hedgeweek US Awards
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Is Your Compliance Consultant Meeting Your Expectations? How Vigilant Differs
July 13, 2026Vigilant Insights Introduction Choosing a Compliance Consultant is more than satisfying a regulatory requirement, it is about finding a trusted partner that understands your business […]