Solutions
Compliance Solutions For RIAs, RICs & Broker Dealers
With over 20 years of experience providing comprehensive compliance solutions to industry-leading Registered Investment Advisers (“RIAs”), Registered Investment Companies (“RICs”) and Broker Dealers, Vigilant offers hands on and bespoke investment compliance solutions to protect financial advisers and their clients.
Our suite of compliance solutions encompasses a range of options, listed below:
- Outsourced CCO Services
- CCO Support Services
- Fund PFO/CFO Services
- Mock SEC/FINRA Examinations
- SEC Examination Support Services
- Advertising and Marketing Review Services
- 206(4)-7 Annual Review Testing and Reports
- SEC/FINRA Registration Services
- Initial Compliance Assessment Services
- Compliance Due Diligence Review Services
- GIPS Consulting/Pre-Verification Services
- FinOp Services
- Series 24 Principal Services
Through our affiliate Vigilant Distributors, LLC we provide the following:
- Registered Representative Services (Institutional Only)
- Principal Underwriter Services for 40 Act Funds
- Advertising and Marketing Review Services
- Placement Agent Services
We work with each client to determine your needs and see how our solutions can help.
The choices you make today can lay the foundation for lasting growth and success. With Vigilant’s depth of expertise, you gain a trusted compliance partner to help strengthen your operations and drive expansion. Take the next step toward sustainable growth and resilience with Vigilant by your side.
Outsourced Compliance Solutions for Financial Advisers and Investment Managers
Outsourced Compliance can be an efficient solution where by delivering expertise, flexibility, and cost-effectiveness without compromising quality. At Vigilant, we offer more than just support, rather we deliver proactive, high-touch compliance solutions tailored to your firm’s needs.
Our Team of Compliance Professionals identify opportunities to strengthen your compliance framework and communicate clear, actionable solutions to you at every step, always keeping your firm’s best interests at the forefront.
What sets Vigilant apart is our depth of experience. We work with well-known firms with presence across the globe, refining our approach to deliver leading compliance solutions that align with evolving regulatory landscapes and industry best practices.
Our services are never one-size-fits-all. We take the time to understand your firm’s culture, structure, and goals making sure our Services integrate seamlessly with your operations and drive long-term success.
With Vigilant, you gain more than an outsourced provider, we are a trusted compliance partner dedicated to protecting your business and positioning it for growth.
Fund/Distribution Solutions
Through our Broker Dealer arm, Vigilant can sponsor your team’s FINRA registration and maintain on-going compliance:
- Manage FINRA licenses and oversee Representative activity.
- Deliver Continuing Education and annual Compliance Training.
- Review Representative Advertising Materials, even where the Fund’s Distributor oversees broader marketing.
- Process Registered Representative compensation linked to sales and support your on-site Principal Supervisors.
- Provide and maintain Written Supervisory Procedures (“WSPs”) tailored to your Firm.
Vigilant’s Principal Underwriter Services are built expressly to support 1940 Act Registered Vehicles including ETFs, Closed-End Funds, Mutual Funds, and BDCs. Acting as statutory distributor, we help enable seamless, compliant distribution:
- Board-level support, including drafting 15(c) reports and preparing materials for board meetings.
- Advertising and Sales Literature Review, conducted via secure platforms and submitted to FINRA for Registered Principal approval.
- Fulfillment of DTCC/NSCC Membership needs, including operational support for Fund transactions.
- Rule 12b-1 Fee Administration and Reporting, ensuring proper oversight of Distribution expenses and compliance.
- Specialized ETF support: Authorized Participant (AP) Agreement negotiation and AP on-boarding guidance.
We also sponsor private placement activity, allowing sponsors to access institutional investors with compliant marketing support and oversight.
Breakaway Advisors
Vigilant’s Breakaway Advisors Solution is purpose-built to support Advisors transitioning from a Broker Dealer affiliation to launching their own independent Registered Investment Adviser (RIA).
From day one, Vigilant handles the complexities of Registration, including drafting and filing your SEC Form ADV Parts 1, 2, and 3, while also developing a tailored Compliance Manual and Code of Ethics that align with your new Firm’s structure and strategy.
Beyond initial setup, Vigilant offers on-going Compliance Services through either Outsourced or Supplemental Chief Compliance Officer (CCO) Services. Our Team oversees the full spectrum of regulatory obligations from annual reviews and risk assessments to marketing material review, Investment Adviser Representative (IAR) on-boarding, and compliance training, helping ensure your Firm remains aligned with SEC standards and industry best practices.
Vigilant also helps streamline your transition by introducing you to Custodians and Broker Dealers (if you are looking to keep an Annuity Trail) that fit your business model. Whether you’re looking to maintain existing client relationships or preserve annuity trail-based compensation, Vigilant helps ensure continuity without compromising compliance.
By partnering with Vigilant, Breakaway Advisors gain a seasoned Compliance Team dedicated to easing the transition to independence while establishing a strong foundation for long-term growth and regulatory confidence.
Get Started With Us Today
Staying within regulatory compliance is a critical part of winning business and setting your Firm up for the future. Contact us today to request a personalized proposal on the many ways we can help you while protecting your interests.
