THE INDUSTRY'S BEST COMPLIANCE SOFTWARE AND CONSULTING SERVICES

Enabling over 2,000 financial services firms to manage their compliance with confidence and ease

24/7 Support

<1 Hour Average Help
Ticket Resolution

>99.9% Uptime

Continuous Enhancements with Zero Downtime

4-8 WEEK AVERAGE IMPLEMENTATION

<1 Hour Average Help Ticket Resolution

>99.9% Uptime

100% BOOKS AND RECORDS COMPLIANT

4-8 WEEK AVERAGE IMPLEMENTATION

<1 Hour Average Help
Ticket Resolution

>99.9% Uptime

100% BOOKS AND
RECORDS COMPLIANT

Why Red Oak?

Built by Compliance Experts

We are the leading fintech platform, purpose-built by compliance experts and practitioners to solve the urgent and pervasive problems faced by compliance professionals every day.

Unmatched Configurability

We are the most configurable, books and records compliant workflow engine, allowing our customers to easily and intuitively adapt our software to their use cases.

Industry-Leading Support

We provide the best support in the industry, and our customers validate that through our low churn rate and high NPS score.

"Red Oak has proven to be one of our most successful vendor relationships.  The platform and technology are great and best of all when an issue or question arises, we get prompt personal support.”
StEPHEN Tally, cOO, LEO Wealth

WHAT WE OFFER

Advertising Review

Advertising review software that increases the accuracy and effectiveness of compliance reviews; helping marketing deliver compliant content faster. Increased collaboration across teams leads to faster time to market.

Disclosure Management

Automate and centralize regulatory disclosures, effectively managing regulatory disclosures for faster approvals and greater efficiency in the compliance process.

Registration Management

Manage your licensing and registrations with a seamless FINRA integration. The system provides centralized tracking for representatives' credntials, deadlines, and notifications that is 100% books and records compliant.

Complaint Management

Track complaints faster with a centralized, intuitive platform.

Internet Supervision

Reduce "failure to supervision" risk by automatically monitoring your advisors' online presence.

Website Monitoring

Monitor third-party websites used by your advisors and maintain records for regulatory compliance.

Consulting Services

Need additional compliance help? Our team of compliance consultants provide over 100 years of compliance expertise for RIAs and broker-dealers.

“Since securities compliance is never a joke, we implicitly trust the services of Red Oak. Extremely knowledgeable with great customer service, they’re the only consultant we use to serve us. The systems are great, and the people are too. In this complex world they tell us what to do.“
-Chief Compliance Officer, Broker-Dealer/RIA/Investment Bank

WHO WE SERVE

Broker-Dealers

Registered Investment Advisors

Banks

Insurance

Other Industries

Register for the 2025 Red Oak User Conference

Join us from April 27 to 30 for our annual Red Oak User Conference in downtown Austin. Hear from industry experts, panels of power users, and the Red Oak team on how to optimize your compliance processes!

Trusted by 2,000+
Firms Globally

Partner to Over Half of
the Top 20 Asset Managers

84 NPS Score—Setting the Standard for Client Satisfaction

Trusted by 2,000 Firms Globally

24/7 SUPPORT

Partner to Over Half of the Top 20 Asset Managers

84 NPS Score—

Setting the Standard for Client Satisfaction

How Can We Help You Meet Your Compliance Challenges?

Whether through software or consulting services, Red Oak delivers comprehensive solutions to keep you ahead of regulatory changes,
improving efficiency and reducing costs. Discover how we can help you navigate your compliance challenges.