Principal Underwriter
Principal Underwriter Services
Vigilant provides Principal Underwriter/Statutory Distribution Solutions for ETFs, Closed End Funds, Interval Funds, Tender Offer Funds, Mutual Funds and BDCs. We also act as Placement Agent for Private Investment Vehicles. Our experienced team offers turnkey Underwriting infrastructure designed to support your Fund’s growth and regulatory obligations.
We leverage our deep industry relationships to enhance your Distribution Network, allowing your Funds to expand their Distribution reach efficiently. Our Legal, Regulatory, Financial, and Compliance Professionals deliver multi-level oversight of all Distribution Agreements, ensuring your Firm remains fully aligned with SEC and FINRA expectations.
Who We Serve
- Investment Companies, including: ETFs, Closed-End Funds, Interval Funds, Tender Offer Funds, BDCs, and Mutual Funds.
- Fund Sponsors or Asset Managers launching new Funds or restructuring existing Distribution Channels.
- Funds seeking Independent Distribution oversight.
- Alternative/Private Investment Vehicles requiring Placement Agent support or access to intermediary networks.
Our Underwriter and Distribution Services
Our comprehensive Underwriter and Distribution Services are designed to meet the needs of Registered or Private Investment Vehicles. Whether serving as your Principal Underwriter or Placement Agent, we deliver tailored Solutions that make sure your Fund’s Distribution Framework is compliant, strategically positioned, and operationally efficient.
Our Suite of Services includes:
We serve as 40 Act Fund Statutory Distributor or Underwriter, supporting ETFs, Closed End Funds, Mutual Funds, and other Registered Vehicles.
For ETF structures, we assist in establishing and maintaining AP/trading partner agreements and creation & redemption oversight.
Review and approve Public Communications, including Advertising, Marketing, and Sales Materials.
For alternative vehicles (Private Equity, Hedge Funds, Real Estate Funds).
We negotiate, draft, execute and maintain Broker Dealer and wholesaler agreements, helping you expand your distribution footprint.
We support interpreting, implementing and administering your 12b-1 (or similar) servicing/ distribution plans, including payment tracking, board reporting and broker compensation processing.
We perform comprehensive due-diligence reviews of your selling partners, monitor their activities in accordance with compliance obligations.
Our Process
Our approach makes sure that each client engagement is structured to fit the size, complexity and unique needs of your business.
- Discovery & Strategy
- We begin with an in-depth review of your Fund structure, existing Distribution roadmap, target channels, regulatory status and key constraints. Together, we define your Underwriting/Distribution strategy.
- Structuring & Implementation
- We draft and negotiate AP Agreements, Seller Agreements, Wholesaler Agreements and Placement Agent Agreements. We assist with contract terms for fee/commission structures, payment flows (including 12b-1 Plans), registration/certification pathways and reporting frameworks.
- Partner On-Boarding & Supervision Framework
- Our team executes on-boarding with intermediaries, performing due diligence, documentation, and system integration. We deploy supervisory and compliance protocols to monitor partner activity, maintain oversight and meet your regulatory obligations.
- On-Going Management & Reporting
- After launch, we handle contract amendments, Board reporting, and periodic audit or review processes. We strive to keep you ahead of regulatory shifts, market-channel evolution and best-practice standards.
Why Vigilant
With years of experience supporting Registered and Private Funds, Vigilant delivers the expertise, infrastructure, and regulatory insight needed to serve as a trusted partner. Our multidisciplinary team brings together Legal, Financial, Operational, and Compliance Professionals who understand the complexities of Fund Distribution and the evolving expectations of the SEC and FINRA. We offer a comprehensive, scalable Solution that provides independent oversight, robust governance, and a seamless extension of your internal capabilities. Clients choose Vigilant because we combine Industry-Tested Best Practices with a proactive, client-focused approach, ensuring your distribution strategy is not only compliant, but built to support growth, efficiency, and long-term success.
Get Started With Vigilant Today
Ready to explore how Vigilant can support your Distribution strategy and serve as a Principal Underwriter? Whether you require Statutory Underwriting, support for a new Fund launch, or on-going Distribution oversight, Vigilant offers Services for your needs.
Request a Proposal or reach out to our team to schedule a consultation.
