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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 compliance solutions for financial services and insurance firms across the globe. Red Oak currently serves a client base with over $25 trillion in AUM and has become the global advertising review software of choice in the financial services industry.  

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. It creates a more efficient review process, with clients typically experiencing 35% faster approvals and 70% fewer touches or better.  

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:  

      •  Smart Review(SM) 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. 
      • Smart Registration(SM) automates the licensing and registration management process to reduce regulatory risk and decrease time spent on manual processes.
      • Smart Complaints(SM) 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 as one of the INC 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 four 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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