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Tuesday, February 09, 2021

A 17-Year-Old Compliance Ally Extends Its Brand

Reported by Neil Anderson, Managing Editor

Nearly 17 years in, an ally to fundsters is streamlining his firm's branding. The effort comes after the firm has expanded its reach beyond its initial focus: compliance.

Salvatore Faia
President, Founder
Today, Salvatore Faia, president and CEO of Vigilant Compliance, LLC, confirms that the Chadds Ford, Pennsylvania-based firm is consolidating all its brands under a simpler name: Vigilant. The branding update includes Herald Investment Marketing, a Vigilant sister company, which will become Vigilant Distributors, led by president John Brett.

When Vigilant launched back in August of 2004, compliance was the main focus, but they've since expanded into a number of other business lines. As part of the brand update, the Vigilant team is dividing their solutions into six categories: active marketing and distribution; cybersecurity; investment management consulting; outsourcing (for mutual fund roles like president, treasurer, or fund secretary); principal underwriting and registered representative solutions; and compliance. The firm's team (about 50 professionals and counting) now supports clients (which include B-Ds, hedge funds, and private equity, as well as ETF and mutual fund families and shops) with combined assets of more than $2 trillion.

"We're an investment management solutions firm," Faia tells MFWire. "Our whole mindset is, 'How do we help our clients? How do we serve our clients and bring them what they need?'"

"We've expanded our offering of outsourced solutions to support them in whatever environment they choose to operate," Faia adds.

For fundsters, Vigilant Distributors can (among other services): support a boutique's wholesalers by being their B-D; provide TPM (third-party marketing) services in the form of wholesalers for boutiques that don't have their own; consult on decisions around product development, marketing, and distribution strategy; and more.

Vigilant's logo remains an image of the hands with touching fingertips from Michelangelo's famous painting on the ceiling of the Sistine chapel. Yet they have tweaked the logo's presentation.

"We did change the byline under that," Faia says, noting that the words "Compliance," "Trust," and "Distribution" are now beneath the logo. 

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