Vigilant
Vigilant is a US-based outsourced compliance and regulatory advisory firm providing CCO services, compliance program development, and fund distribution solutions to Registered Investment Advisers, broker-dealers, and registered funds across the US and UK.
- Company typePrivate
- Founded2004
- HeadquartersChadds Ford, United States
- Headcount51–100
- GTM typeB2B
- OfferingServices
What Vigilant does
Vigilant is a US-based outsourced compliance and regulatory advisory firm founded in 2004 and headquartered in Chadds Ford, Pennsylvania. It serves investment management clients — primarily Registered Investment Advisers (RIAs), broker-dealers, and registered funds (including private equity, hedge, closed-end, ETF, mutual, and real estate funds) — by providing outsourced Chief Compliance Officer (CCO) services, compliance program development, mock SEC examinations, RIA registration support, advertising and marketing review, and training. The firm also operates a FINRA-registered broker-dealer that delivers third-party marketer/wholesaler registered representative services and statutory principal underwriter/distributor services to registered funds.
Vigilant firmographics
Firmographics- Name
- Vigilant
- Legal name
- Vigilant LLC
- Website
- https://vigilantllc.com
- Company type
- Private
- Founded year
- 2004
- Operating status
- Operating
- Headcount range
- 51–100 employees
- Short description
- Vigilant is a US-based outsourced compliance and regulatory advisory firm providing CCO services, compliance program development, and fund distribution solutions to Registered Investment Advisers, broker-dealers, and registered funds across the US and UK.
- Ownership category
- akta.pro rank
Vigilant industry classification
Industry- Product category
- Regulatory Compliance Consulting
- SIC
- Services-Management Consulting Services (8742)
- akta.pro primary industry
- Risk, Compliance & Internal Controls Consulting (BPAHACAJ)
- akta.pro secondary industry
- Fraud Risk & Financial Crime Controls Advisory (BPAKADAL)
Keywords
Where Vigilant is headquartered
LocationHeadquarters
- HQ city
- Chadds Ford
- HQ country
- United States
- HQ region
- North America
Offices6 records
Markets served
Vigilant business model
Business model- GTM type
- B2B
- Offering type
- Services
- Cost components
- Personnel, Operations, Marketing or Sales, Technology or R&D, Others
Revenue model
- Outsourced Compliance Services: Vigilant provides outsourced Chief Compliance Officer (CCO) services, compliance program development, and ongoing regulatory compliance support to investment advisers and broker-dealers. Services are delivered through professional staff with deep industry experience.
- Compliance Consulting and Advisory: One-time and recurring compliance consulting engagements including mock SEC examinations, policy development, advertising review, and regulatory registration services.
- Fund Distribution Services: Vigilant provides statutory distributor services (principal underwriter) to registered funds including ETFs, closed-end funds, interval funds, and mutual funds.
Pricing tiers
| Model | Billing | Price |
|---|---|---|
| Other | Monthly | Quote-based pricing tailored to firm size and service needs |
Go-to-market motion2 records
Distribution channels2 records
Marketing channels4 records
Vigilant product offering
Product offeringCore offering
Vigilant provides outsourced Chief Compliance Officer (CCO) services and comprehensive regulatory compliance solutions to Registered Investment Advisers (RIAs), Broker-Dealers, and registered funds (ETFs, mutual funds, closed-end, interval, and real estate funds). Service offerings include compliance program development, mock SEC examinations, RIA registration, compliance training, advertising and marketing review, cybersecurity assessments, and statutory distributor/principal underwriter services through its FINRA registered broker-dealer.
Product overview
Vigilant is a full-service outsourced compliance provider offering a comprehensive suite of compliance solutions for the financial services industry. The core offering centers on Outsourced CCO Services, supplemented by Compliance Solutions for diverse RIAs (Investment Advisers, Private Equity, Hedge Funds, ETFs, Mutual Funds, Closed-End Funds, Real Estate Funds, Broker Dealers), Distributor Solutions (Registered Representative, Principal Underwriter), Outsourcing Solutions (CCO, Advertising/Marketing Review, PFO, FinOp), and Investment Management Consulting. Supporting sub-products include Mock SEC Examination Solutions, RIA Registration Solutions, Investment Adviser Compliance Training, and Cybersecurity Solutions. The company serves clients with over $5 Trillion in assets under management and positions itself as an industry-leading regulatory compliance consulting firm with over 21 years of experience.
Differentiator
Problem solved
Functional benefit
Products and services
- Outsourced CCO Services
Quantifiable outcome
- Supports clients with over $5 trillion in assets under management
Companies that use Vigilant
Customer profileSegments3 records
Ideal customer profiles3 records
Vigilant technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Vigilant partnerships and signals
Strategic signalScale indicators3 records
Recent moves5 records
Expansion highlights5 records
Vigilant competitors and assessment
Company assessmentDirect peers
- ACA Group: ACA Group is one of the largest independent providers of investment management compliance, risk, and performance services, offering outsourced CCO, GIPS verification, and regulatory advisory to advisers and broker-dealers — directly overlapping Vigilant's core offerings to RIAs and funds.
- Cipperman Compliance Services: Cipperman is a specialist outsourced CCO and compliance consulting firm serving RIAs, hedge funds, private equity, and family offices with the same outsourced chief compliance officer model that anchors Vigilant's solution set.
- National Regulatory Services (NRS): NRS provides compliance education, consulting, and outsourced CCO services to investment advisers and broker-dealers, and is a direct competitor to Vigilant in RIA registration, mock SEC examinations, and ongoing compliance support.
- Consilium Compliance: Consilium Compliance provides outsourced CCO, compliance program development, and mock SEC exam services to investment advisers and private fund managers — directly comparable to Vigilant's core compliance solutions practice.
- Foreside Financial Group: Foreside provides fund distribution, principal underwriter, and compliance services for registered funds (mutual funds, ETFs, interval/closed-end), directly overlapping Vigilant's statutory distributor and FINRA-registered broker-dealer offerings.
- MCO Compliance: MCO Compliance is an outsourced CCO provider focused on RIAs, broker-dealers, and private fund advisers, competing head-to-head with Vigilant's outsourced chief compliance officer and advertising review services.
- Core Compliance: Core Compliance provides outsourced compliance services for investment advisers and broker-dealers, including CCO outsourcing, mock SEC exams, and policy development — a direct functional peer to Vigilant's compliance practice.
- Beacon Compliance Services: Beacon Compliance provides outsourced CCO, mock SEC examinations, and ongoing compliance consulting to RIAs and broker-dealers, competing directly with Vigilant in the outsourced compliance officer market.
Broad incumbents
- 3E (Regulatory Compliance): 3E is a broader regulatory compliance, environmental health, and safety services firm that also provides investment adviser and broker-dealer compliance solutions, competing with Vigilant at the higher end of the market with greater scale.
Regional players
- Kaufman Rossin: Kaufman Rossin is a Florida-based CPA and advisory firm with an investment management practice providing audit, tax, and outsourced CCO services to RIAs and funds — a regional competitor overlapping Vigilant's Florida/South-East fund services.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat5 records
Key risks6 records
Key highlights7 records
Customer concentration
Vigilant social profiles
Digital presenceVigilant financial estimates
Financial estimateRevenue estimate
Valuation estimate
Vigilant leadership team
Management profileNumber of profiles
Profiles6 records
Vigilant funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
Vigilant M&A and investment
M&A and investmentM&A
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about Vigilant
What does Vigilant do?
Vigilant provides outsourced Chief Compliance Officer (CCO) services and comprehensive regulatory compliance solutions to Registered Investment Advisers (RIAs), Broker-Dealers, and registered funds (ETFs, mutual funds, closed-end, interval, and real estate funds). Service offerings include compliance program development, mock SEC examinations, RIA registration, compliance training, advertising and marketing review, cybersecurity assessments, and statutory distributor/principal underwriter services through its FINRA registered broker-dealer.
Is Vigilant a public or private company?
Vigilant is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was Vigilant founded?
Vigilant was founded in 2004. It employs 51 to 100 people.
Where is Vigilant based?
Vigilant is headquartered in Chadds Ford, United States, in the North America region.
How does Vigilant make money?
Three revenue lines are on record. Outsourced Compliance Services are the primary driver. The others are compliance Consulting and Advisory and fund Distribution Services.
Who are Vigilant's main competitors?
Direct peers on record are ACA Group, Cipperman Compliance Services, National Regulatory Services (NRS), Consilium Compliance, Foreside Financial Group, MCO Compliance, Core Compliance and Beacon Compliance Services. 3E (Regulatory Compliance) is listed as a broad incumbent. Kaufman Rossin is listed as a regional player.
Does Vigilant have an API?
No public API is recorded for Vigilant.
What industry is Vigilant in?
Vigilant's product category is Regulatory Compliance Consulting. Its primary akta.pro industry code is BPAHACAJ, Risk, Compliance & Internal Controls Consulting, with a secondary code of BPAKADAL, Fraud Risk & Financial Crime Controls Advisory. Its SIC code is 8742.