See how Red Oak works for your firm
Tell us what your firm wants to accomplish, and we’ll tailor the demo to the products and workflows that matter to you.
- Move marketing content through compliance review and approval 3.3x faster.
- Focus communications supervision on potential policy issues across channels built your own compliance handbook.
- Keep employee and firm compliance current, from licensing and supervisory assignments to policies and attestations.
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37 of 40
top global asset managers
$101T
AUM across our clients
1,550+
regulated firms use Red Oak
16 years
supporting financial services clients
Why firms use Red Oak
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.
Choose what to see
Look first, then choose what to cover
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MOMarcus Okafor
DRDana
PNPaula
RegisteredRenewal due
Compliance management
The firm's own program: who is licensed, and who supervises whom.
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Disclosures
Marketing rules
Approved
Review
Marketing content checked against the firm's rules, then approved.
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Fact sheet
HWHarrowgateDelivered
PRPike & RoweOpened
KPKelderwickSent
Distribution
Approved content moves from investment companies to firms and advisors.
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That fund cannot lose money.
FlaggedMOPromissory statements
Supervision
Captured communications reviewed against the firm's own policies.
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Captured
EC
DR
Archiving
Books and records retained, searchable, and producible.
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ReviewedFlaggedApproved
Analytics
What was reviewed, flagged, approved and engaged with.
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Recognition and client feedback
8 consecutive years
on the Inc. 5000
84
Net Promoter Score
Visionary
in the 2026 Gartner Magic Quadrant for Digital Communications Governance and Archiving
Bring IT and security to the session
Your mail, chat and device owners can join the same session. We cover how Red Oak connects to your systems and how records are kept.
- How Red Oak connects to your mail, chat and phone systems.
- How records are retained, searched and produced.
What our clients say
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Red Oak has been a great addition to our Compliance toolbox. Red Oak's greatest strength lies with its support team who is always readily available and consistent in ensuring the application is tailored to our needs. The application has allowed us to increase service levels to our business partners through its customizable, multi-use platform.
L Stephen TallyCOOLeo Wealth -
So far it's been great. In terms of the product, it looks a lot more modern and the interface is a huge improvement.
“ Chief Compliance OfficerRegistered investment adviser -
The Red Oak product makes much more intuitive sense, and doesn't restrict the number of queries I can run.
“ Chief Financial OfficerReal estate investment firm -
I spoke to another leading provider about conducting a data ingest. I had a phone call with somebody, with no visuals, and then follow-up was really slow. On the other hand, the Red Oak team was just on top of it the whole time. I was walked through everything in every meeting. So I think service-wise, Red Oak is really going that step further.
“ Founder and CEOFinancial services firm
Red Oak demo, answered
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A specialist walks through the parts of Red Oak you choose, starting from your firm type and the channels you capture. One session can cover supervision, archiving, marketing review, distribution and compliance management. Supervision
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Compliance leads, supervision and e-surveillance reviewers, marketing compliance reviewers and the IT owners of mail and device policy usually join. General counsel and risk leads can join for the records and exam discussion. Solutions
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Yes. Tell us your firm type, the channels you capture and what you want to see on the form, and the session starts from those. Communications supervision
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Red Oak captures each channel once, and the same capture feeds supervision and the archive. Capture covers email, collaboration and chat, financial messaging, mobile and text, social media, video and websites. Channels
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Red Oak retains books and records so they are searchable and producible on request, with every decision on record at each stage. Captured messages are kept on WORM storage. Archiving
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Red Oak provides compliance software for regulated firms. It reviews marketing content, distributes approved content to advisors, and supervises and archives communications on a connected platform. It also keeps representatives' registrations current and builds the firm's supervisory structure into the program. Platform
See how Red Oak can support your compliance goals.
Tell us what your firm wants to accomplish, and we’ll tailor the demo to the products and workflows that matter to you.