Distributor Solutions
Distributor Services
Vigilant’s Distributor Services deliver a comprehensive solution for firms seeking a reliable Principal Underwriter and Registered Representative partner. Vigilant partners with Funds, Investment Managers, and Registered Representatives to tailor a solution for their distribution needs.
Through Vigilant Distributors, LLC, our team provides practical, hands-on oversight to Investment Companies, Fund Sponsors, and Private Fund Managers navigating today’s evolving regulatory landscape. By integrating compliance, operations, and supervisory expertise into a single coordinated model, we simplify the distribution process, support product launches, enhance transparency for Boards, and position your fund for scalable, compliant growth across all distribution channels.
Registered Representative Licensing & Supervision
Effective distribution requires experienced, well-supervised registered professionals operating under a compliant framework. Through our affiliated Broker Dealer, Vigilant Distributors, LLC, we offer robust Registered Representative Services to protect your firm, maintaining industry standards, and help your team operate confidently in a regulated environment.
We Provide Support In:
- Licensing, registration, and maintenance for Series 6, Series 7, Series 22, Series 24, Series 63, Series 79, and Series 82
- Development and administration of Written Supervisory Procedures (WSPs)
- Tailored Code of Ethics and annual certifications
- Advertising and sales material reviews to ensure compliant distribution practices
- Annual Compliance Meetings & ongoing representative training
- Books & records documentation and required supervisory audits
Principal Underwriting & Statutory Distributor Services
Vigilant acts as Principal Underwriter and Statutory Distributor for ETFs, Closed-End Funds, Mutual Funds, BDCs, and Private Offerings, providing an integrated platform that streamlines distribution, strengthens investor protections, and reinforces fund governance.
Backed by decades of industry experience across Registered Investment Companies (RICs), Vigilant brings a depth of regulatory, legal, and operational knowledge that few firms can match. Our team has partnered with fund complexes, Boards, and leading Service Providers to design compliant, scalable distribution infrastructures that withstand regulatory scrutiny and evolve with industry expectations.
We integrate compliance, legal, and operational leadership into one cohesive model, making sure your distribution program is built on a foundation of integrity and transparency.
Our Services Include:
- Serving as Statutory Distributor and Fund Sponsor for ETFs, Closed End Funds, Mutual Funds, and BDCs
- Placement Agent support for Private Funds and Alternative Investment Offerings
- Negotiation, onboarding, and maintenance of Authorized Participant (AP), Selling & Intermediary Agreements
- Rule 12b-1 oversight, fee program monitoring & Board Reporting
- Comprehensive support for Fund Boards, including 15(c) materials and Distributor reports
- Registering and renewing state filings
Why Choose Vigilant Distributors?
Partnering with Vigilant gives you a distribution framework built on industry-leading compliance strength and operational excellence.
We Provide:
- Integrated Compliance & Distribution Expertise
- Scalable Infrastructure
- Proactive Regulatory Alignment
- Tailored, High-Touch Service
Get Started With Vigilant Today
In today’s competitive and highly regulated environment, distribution success requires integrated compliance, strong governance, and operational precision.
Vigilant delivers a comprehensive approach to distribution that enhances credibility, reduces regulatory exposure, and positions your products for long-term growth.
Contact us today to request a customized proposal aligned to your Distribution and Registered Representative needs.
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