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Vigilant Compliance Announces Strategic Shift in Its Business Model From Traditional Compliance to Comprehensive Solutions Provider

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CHADDS FORD, Pa.–(BUSINESS WIRE)–#compliance–Vigilant Compliance, LLC, an investment management leader in regulatory compliance and active fund distribution, announced today that it will consolidate all brands and product solutions under one name—Vigilant. Since its inception in 2004, Vigilant continually pioneers its outsourced solution to meet their clients’ changing needs.

With client assets in excess of $2 trillion, Vigilant provides CCO and support services for multi-billion-dollar funds, ETFs, and advisers, including registered investment companies, federally registered investment advisers, business development companies, broker-dealers, and private equity advisers.

“Vigilant is more than just a compliance firm, we are an investment management solutions firm focusing on servicing the regulatory needs of a broad range of investment management clients,” said Salvatore Faia, president and CEO of Vigilant. “It was important to us and the clients we serve to align our brand under a single name, signifying the unity of our services and solutions across the industry.”

By dropping the word “compliance” from the name, Vigilant affirms its new strategic shift to a broader suite of investment management solutions. With Vigilant’s new direction, solutions will fall into one of six categories:

  • Compliance
  • Principal Underwriting/Registered Representative Solutions
  • Active Marketing and Distribution
  • Outsourcing
  • Cybersecurity
  • Investment Management Consulting

As part of the strategic shift, Vigilant’s sister company, Herald Investment Marketing will be known as Vigilant Distributors, LLC, which will provide all distribution solutions on behalf of Vigilant, including active distribution, principal underwriting, and registered representative solutions. Vigilant recently brought on John Brett, an industry veteran who previously served as Chairman of Lockwood Advisors and the MetLife Broker Dealer Group, as its new president. Under his direction, Vigilant Distributors will focus on building solutions that allow asset managers to improve their investor outcomes.

“We will offer the same excellent and creative solutions to our clients,” Faia continued. “As asset managers scale-down their in-house functions, we are scaling up our offerings.”

Vigilant’s presence and trustworthiness in the market holds strong as demonstrated through their long-lasting relationships with clients.

When asked about the strategic shift, longtime client Lawrence Greenberg, Motley Fool’s Chief Legal Officer, said, “We have worked with Vigilant since the inception of our investment adviser business, over a decade ago. They know virtually everything and everyone there is to know about investment adviser, funds, and broker-dealer compliance. Without compromising compliance, they never lose sight of the fact that we are a business and need practical, hands-on answers.”

About Vigilant

Vigilant is full-service consulting firm offering a broad suite of solutions to the investment management industry. Established, on August 15, 2004 as a boutique compliance firm for mutual funds, Vigilant has grown into solutions provider for ETFs, private equity, hedge funds, broker-dealers, and wealth managers. Vigilant delivers clients end to end solutions that they can trust.


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