Product Description
About this Product
RIAs are typically either State or SEC registered. Thus, they are required to comply with either state or federal securities laws, which include, maintaining a compliance program that meets such statutes. Vigilant's offerings are designed to assist RIAs in compliance with such regulations. Vigilant can do so, either through its full-service offerings, where Vigilant performs the majority of the compliance duties (e.g., Outsourced CCO or CCO Support) or through limited support services which are designed to supplement a RIAs internal compliance staff. With the increased complexity and volume of regulations, currently either in the proposal stage or newly adopted, many RIAs do not have the resources to maintain a sufficient compliance program. As a result, RIAs can benefit from Vigilant's high quality and cost-effective service offerings.
About Vigilant Compliance, LLC
Vigilant was established on August 15, 2004, nearly two decades ago, and has been a leading Regulatory Compliance consulting firm - uniting Regulatory Compliance, Legal, and Financial Expertise.
Vigilant, since inception, has, and is, currently serving as CCO and providing CCO Support Services for Multi-Billion Dollar Funds and Advisers. Our Clients include Registered Investment Companies, Federally Registered Investment Advisers, Business Development Companies, Broker-Dealers and Private Equity Advisers.
Vigilant is experienced within a wide range of Investment Products, including ETFs, Mutual Funds, Large, Mid, Small, SMid Equity Products, Long-Short Funds, Research Funds, Value, Growth, and Core Products, International Funds, Bond Funds, REITs, and a variety of Fixed Income Products.
Our Team is highly qualified and consists of MBAs, CPAs, ESQs, IACCPs, etc.
Our competitive advantage is based on the following: (1) Consistency: Vigilant is privately held, which means we don't have the external pressures like many of our competitors. With less than 5% senior management turnover, RIAs maintain continuity of services. (2) Time Tested: In business for nearly 2 decades (19+ years), providing services to clients from $0 - $25+ Billion in AUM (3) Expertise: There is no substitute for experience. Vigilant’s team has extensive compliance and industry experience, including 500+ years at the Director level. Providing best in class services in a cost-effective manner. (4) Full Service: Unlike many of our competitors who provide boiler plate, “check the box” services, our services are high touch and bespoke, customized to each client’s specific requirements and needs.
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Serving RIAs Since
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0719-93C0
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