Vigilant is an Award Winning and Industry Leading Compliance Firm that continues to remain Independent and Privately Owned.

Since 2004, we have been providing tailored and customized end-to-end solutions to Advisers, Funds and Broker Dealers:

- Outsourced CCO
- CCO Support
- Advertising and Marketing Review
- Mock SEC/FINRA Exams
- SEC/ERA/Broker Dealer Registration
- Registered Representative Licensing
- Principal Underwriter for Registered Funds
- FinOp

Our Clients include: Private Equity, Hedge Funds, Closed End Funds, Private Credit/Structured Credit, ETFs, Mutual Funds, Wealth Managers, SMAs, Real Estate Funds, Infrastructure Funds, Registered Investment Advisers (RIAs) and Broker Dealers.

Vigilant Compliance

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