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Our Story

Building Smarter Solutions for Your Team

Red Oak was founded in 2010 by a team of compliance and technology experts – Stephen Pope, Cathy Vasilev, and Rick Grashel. Stephen and Cathy had experience building an internal advertising review solution when they worked together at a large hybrid BD/RIA/Insurance Distributor, with Cathy as the head of supervisory systems and controls and Stephen as the director of application engineering. In the course of their work, they recognized that the financial services industry was faced with a growing need for intelligent software solutions that could help compliance teams streamline their efforts and mitigate risk. They partnered with Rick Grashel, who was the director of Hadoop/big data solutions for Dell and brought him on to lead Red Oak’s technology and development efforts.  

Over the years, Red Oak has been consistently recognized for providing best-in-class, intelligent compliance software solutions. Red Oak currently serves over 1,800 firms around the world, including over half of the top 20 global asset managers and has become the software of choice in the financial services and insurance industries.  

Red Oak’s flagship advertising review solution is a comprehensive suite of SEC 17(a)-4/WORM compliant features that are 100% books and records compliant. Powered by AI, it creates a more efficient review process, increasing accuracy of reviews and helping deliver compliant content to market faster.  

Red Oak remains committed to continuously investing in and enhancing our software solutions while developing new solutions that drive greater efficiency for compliance teams. During the past several years, Red Oak has released additional modules that complement its flagship offering, including:  

      •  Disclosure Management solves for the management and intelligent application of disclosures, helping firms reduce risk, decrease review times, and increase the speed of distribution of marketing materials. 
      • Registration Management automates the licensing and registration management process to reduce regulatory risk and decrease time spent on manual processes.
      • Complaints Manager provides the ability effectively track, maintain, resolve, and report critical complaint information and then use that data to improve processes.

Red Oak has been recognized on the AI FinTech 100 listINC 5000’s Fastest Growing Companies, in the RegTech 100’s list of Top Global Regulatory Compliance Innovators, and in the Financial Times’ Fastest Growing Private Firms, each for consecutive years. The foundation for Red Oak’s continuing success is its strong, customer-centric mentality and dedicated focus on providing financial firms the solutions they need to minimize risk, reduce costs, and increase compliance review process effectiveness and efficiency.

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