Principal Underwriting

Principal Underwriting Solutions

Vigilant provides Principal Underwriter/Statutory Distribution solutions for investment companies (Mutual Funds) and ETFs. We also act as Placement Agent for Private Investment Products.

What Vigilant Can Do for You

  • Principal Underwriter for Mutual Funds and ETFs
  • Mutual Fund Wholesaler
  • Maintain and add AP agreements for your ETFs
  • Maintain and add Broker-Dealer agreements as Principal Underwriter
  • Administer Rule 12b-1 plans and payments, which includes board reporting
  • Placement Agent for Private Investment Products

We leverage our industry relationships to enhance your distribution network. Our team will negotiate and prepare dealer selling agreements and monitor selling partners. Vigilant conducts due diligence reviews of prospective dealers, assisting in your marketing process.

Vigilant will assist with reviewing your contracts for compliance with security regulations. We can also help you develop a strategy for Funds Sales. Our multi-disciplinary team has the legal, financial, regulatory and compliance professionals to perform a multi-level review of your agreements. Our consultative approach helps you tailor agreements that align with your interests. We develop plans to secure dealer agreements to position your distribution strategy for success.

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