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

This department provides strategic direction and oversight for the organization.

Executive Leadership

This department provides guidance and support in investment planning and advisory services.

Investment Advisory

This department focuses on identifying growth opportunities and establishing strategic partnerships to enhance the organization's market position.

Business Development

This department ensures adherence to regulatory standards and internal policies related to compliance.

Compliance Department

This department focuses on managing marketing strategies and operational processes to enhance business performance.

Vigilant Compliance

Org chart

Teams

Executive Leadership

Investment Advisory

Business Development

Compliance Department

Marketing and Operations

Offices

Vigilant Compliance

Org chart

Teams

Executive Leadership

Investment Advisory

Business Development

Compliance Department

Marketing and Operations

Offices

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