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Our Story

We knew there had to be a better way.

Truly efficient advertising compliance systems are rare outside of proprietary, in-house solutions that require a team of IT professionals to build and maintain. We know this at Red Oak Compliance Solutions because our founders came from a large insurance distributor-owned broker-dealer/RIA where this same scenario presented itself. After an exhaustive and unsuccessful search to buy an advertising review solution, they built a proprietary solution for this BD/RIA. The system was designed to alleviate the burden of staying compliant while using outmoded tracking methods consisting of reams of paper, email, and shared network drives. It was developed and tested in the real world of regulatory oversight and advertising review.

In 2010, our founders left a large BD/RIA and formed Red Oak Compliance Solutions. As their client base grew and increasingly used Red Oak to review their advertising material, we found ourselves falling back into the same inefficient methods of tracking our work and reviewing their material. Again, our founders were presented with the scenario of looking for a solution to buy, and again found the same options as before. As a result, we went back to our roots and built a solution that would meet the needs of our existing clients and accommodate their ever-changing needs. This time, however, the result was an easy-to-use, compliant, and highly-configurable solution for RIAs, broker-dealers, and insurance companies.

In a few short years, Red Oak Software has taken off with a client base which now serves over $19 Trillion in AUM with global public companies and small advisers alike. Red Oak Software’s client base compares favorably against firms who have been in business 15 years longer. The high rate of growth, the breadth of the financial services markets we serve, and the accolades we have received gives us confidence that Red Oak is, beyond any doubt, the predominant advertising solution in the industry. By listening and responding to clients, emphasizing continued development based on our customers’ needs, and having an unrelenting commitment to superb customer service, this goal is already being achieved.

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