AGENTIC COMLPIANCE PLATFORM
Grow your firm. Stay in control.
Red Oak helps regulated firms get compliant content to market, put it in advisors' hands, and oversee how their people communicate, with the evidence to stand behind every decision.
The content compliance lifecycle
- CreateWrite the content
- ReviewApprove it
- DistributeReach advisors
- SuperviseReview messages
- ArchiveKeep the record
- AnalyticsReport on it all
What happens in the field shapes what gets created next.
1Marketing ComplianceDrafted
09:14Sent to Advertising Review.
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Owen HayesMarketing, Calder Wren Distributors
2Marketing ComplianceRead against your policies
09:21A required risk disclosure is missing from this claim.
- AI ReviewAnalyzes content
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Leah VanceContent Compliance
3Marketing ComplianceCorrected and approved
Approval recordLeah Vance added the disclosure and approved this version. The decision is hers.
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Leah VanceContent Compliance
4DistributionIn advisors’ hands
Calder Wren Distributors sends the approved Core Bond Fund quarterly fact sheet once, with its approval attached, to Kelderwick Partners, Harrowgate Wealth, and Pike and Rowe. Each firm applies its own rules: Kelderwick Partners cleared it under its own guidelines, Harrowgate Wealth approved it automatically, and Pike and Rowe requested changes. Maya Chen, an advisor at Kelderwick Partners in Denver, sees the cleared fact sheet. Last quarter’s version is out of circulation, and Calder Wren Distributors is marked Following.
11:40Sent once to every firm Calder Wren works with. Each firm applied its own rules, and advisors see only the current version.
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Owen HayesMarketing, Calder Wren Distributors
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Maya ChenAdvisor, Kelderwick Partners
5SupervisionSupervised in the conversation
Dana Reed, Branch 114 at Kelderwick Partners, to Ellen Cole, on Microsoft Teams
“Honestly, you can count on this fund to beat the index next quarter.”
Reviewer action recordMarcus Okafor read the reason, acted, and recorded why.
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Marcus OkaforSupervision
- MiraAI agent. Flags message, suggests policy update.
6ArchivingKept as it happened
13:30Neither record is edited after it is kept.
- Red Oak ArchivingKeeps each record as it was written
7ArchivingPulled for the matter
- Approval recordAdvertising Review
- Reviewer action recordSupervision
- Retained communicationArchiving, written once and kept for the period you set
14:08Paula Nash pulled the content and the conversations from the three places that kept them.
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Paula NashCompliance administrator
8AnalyticsAsk for the report you need
Paula Nash asks Mira, in plain language, for advisor engagement with the Core Bond Fund quarterly fact sheet next to review turnaround by reviewer. Mira builds the dashboard from the program’s own records. Engagement is shown by firm: Kelderwick Partners, Harrowgate Wealth, and Pike and Rowe. Maya Chen appears by name because she follows Calder Wren. Review turnaround is shown for Leah Vance and Marcus Okafor. The bars show relative size only, with no figures. Every bar opens the records behind it.
15:20Mira builds the report. Reading it, and deciding what it means, stays with your team.
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Paula NashCompliance administrator
- MiraAI agent. Builds the report.
Compliance Grade AI™
Less compliance busywork. More time for what matters.
Red Oak AI helps your team review marketing before it goes live and supervise conversations using your own rules. AI Review checks standards and disclosures. Mira checks conversations against your handbook. Both flag what needs your attention, explain why, and keep your team in control.
Other platforms apply their rulebook. Red Oak AI enforces yours.
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AI Review · Marketing review
Content checked before a reviewer opens it
AI Review reads marketing content against your standards and your required disclosures, marks superlatives, performance claims, and promissory language, and suggests the rewrite. Your reviewer decides.
- Lexicon, disclosures, and AI Review all run on submission.
- Every finding arrives with suggested wording.
- Reviewers start with the findings instead of a blank page.
- 3.3xfaster content approvals
- 70%fewer compliance touches
Anatomy of a review decision. Page two of the Core Bond Fund quarterly fact sheet from Calder Wren Distributors: the fund has outperformed its benchmark in each of the last four quarters. AI Review pins a finding to that line, required risk disclosure missing, and cites your disclosure standard: a performance statement needs the approved risk disclosure on the same page. Disclosure Manager suggests the approved disclosure. Leah Vance reviews it and approves. The approval record is kept and versions are tracked.
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Mira · Communications supervision
Every message read in its thread
Mira turns your handbook into a policy program your team approves, reads captured messages against it, and routes each flag to the reviewer with authority to act.
- Mira reads the whole conversation, including intent, people, and context.
- Clean messages stay out of the queue, and the policy clause sits beside every flag.
- Mira drafts policy refinements from your team's decisions, and nothing changes until a reviewer approves.
- 98%reduction in false positive alerts, communications supervision
- 80%less time spent on communications review, self-reported by early Mira clients
Anatomy of a supervision decision. Dana Reed, Branch 114, sends Ellen Cole a WhatsApp message in its native format. Mira flags it under gifts and entertainment and cites your procedure 3.1: it offers a client tickets and a meal, and the procedure sets limits. Mira recommends escalating it. Marcus Okafor resolves it and records his note. The record is kept with the Cole account review.
Recognition and client feedback
8 consecutive years
84
Net Promoter Score
Visionary
in the 2026 Gartner Magic Quadrant for Digital Communications Governance and Archiving