Reg S-P Webinar | Vigilant Events
April 29, 2026Vigilant Events Reg S-P Webinar Registration Vigilant will be participating in a co-hosted webinar with it’s affiliated Cybersecurity Firm, SilverPillar Cyber Advisors, as well as Stradley Ronon, […]
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.
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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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SEC Charges Private Fund Adviser for Excess Fees and Misstatements
April 29, 2026SEC Releases Introduction On April 9, 2026, the SEC filed a civil enforcement action against a Private Fund Investment Adviser and its Principal in the […]
SEC Charges Private Fund Adviser for Excess Fees and Misstatements
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When Do RIAs Consider an OCCO? | 5 Scenarios
April 27, 2026Vigilant Insights Introduction For SEC RIAs, the compliance function has become increasingly complex, resource-intensive, and scrutinized. Regulatory expectations continue to evolve, requiring Firms to maintain […]