Investment Adviser Services Overview
The explosive growth of the investment advisory business over the past several years has created a need for compliance consulting to help investment advisers deal with their ever increasing compliance obligations in this challenging regulatory environment. Red Oak has the industry experience, investment adviser compliance expertise, and knowledge of the regulatory requirements you need in order to fulfill your compliance needs. Red Oak’s services are designed to help advisers understand and streamline their compliance programs.
We don’t sell our clients a product – we deliver solutions.
For new investment adviser applicants, Red Oak offers customized registration services to get your new firm up and running. Our compliance professionals can explain the registration process and requirements, assist in structuring your firm’s investment advisory program, prepare your investment adviser registration, and design your compliance program.
We also provide a full complement of compliance services for existing registered investment advisers. These investment adviser compliance services include a custom on-going compliance programs, or à la carte services as needed. For more information on any of our services, please click on the links below.
- Compliance Services
- Registration Services
- Advertising Review Services
- Advertising Review Software – Red Oak Software
- Training Services
We strive to be extremely competitive with our pricing. We will provide you a customized quote for our services after an initial analysis has been performed. Please contact us for a proposal tailored to meet the needs of your firm.