Platform
Agentic Compliance Platform for regulated industries
One connected system for marketing review and approval, distribution to advisors, communications supervision and the archive, with every decision on record at each stage.
One record from approval to archive. The Core Bond Fund quarterly fact sheet from Calder Wren Distributors is approved once by Leah Vance. It is cleared to Kelderwick Partners, where advisor Maya Chen follows Calder Wren. Dana Reed then texts client Ellen Cole, a trusted contact, about the fund; Mira flags item 88211 under Promissory statements, and the thread is kept in an archived record.
Maya ChenAdvisor, Denver branch
Follows Calder Wren
Honestly this one can’t lose. I’d put the whole rollover in it.
Approved once.Cleared to advisors.Supervised and kept.
The Problem
Your compliance risk lives in the gaps between your firm's disconnected systems of record.
Marketing review, distribution, supervision, and archiving often live in separate systems, each with its own record. When an incident or regulatory audit occurs, your team must piece those records together to uncover what the systems couldn’t reveal on their own.
One connected record across the content and communications lifecycle helps you understand your exposure and show what happened and when.
Review
Distribution
Supervision
Archive
How the platform works
Our platform eliminates those gaps
A defensible compliance program depends on a clear record. Red Oak connects that record across the lifecycle, so you can monitor risk in real time and show what happened and when.
- CreateProduce content
- ReviewApprove and document, with rationale on record
- DistributeRight content, right advisor, right moment
- SuperviseEvery message your people send
- EngageInteract in the field
- AnalyzeSee what worked and feed it back
What happens in the field shapes what gets created next.
01
Every action writes to the same record, from first draft to final send
Content starts in your firm’s own tools. From there, each stage contributes to a connected record, giving compliance the full story and marketing a view of what resonates.
- Content checked against your rules and disclosures, then approved.
- Approved content reaches advisors, and engagement reports back to the asset manager.
- Messages and websites reviewed against your own policies.
- Books and records retained, searchable and producible on request.
The audit trail for the Core Bond Fund quarterly fact sheet, in order. Submitted, October 14, 9:02. AI Review flagged the missing disclosure, 9:03. Disclosure added, 9:11. Approved by Leah Vance, 9:40. Cleared to Kelderwick Partners, 9:41. Maya Chen engaged, October 16, 11:20. Shared by text, Dana Reed to Ellen Cole, 14:22. Reviewed by Mira, 14:22. Archived, 14:23.
- Submitted
- AI Review: missing disclosure flagged
- Disclosure added
- Approved by Leah Vance
- Cleared to Kelderwick Partners
- Maya Chen engaged
- Shared by text: Dana Reed to Ellen Cole
- Reviewed by Mira
- Archived
02
Instant feedback to your team on every interaction
Red Oak brings AI into the work your team already does, helping submitters address issues earlier and reviewers focus on communications that need their judgment. A person makes the final decision.
- AI Review gives instant feedback based on your firm's policies, allowing content to be changed before human review.
- Mira reads each message in context, so fewer alerts need human intervention.
- Every dismiss, escalate and confirmation sharpens the policy logic our AI applies next.
- Each policy update our AI drafts waits for a admin's approval before it takes effect.
- Improvements stay inside your firm, and never train anyone else’s model.
AI Review marks one line of the Core Bond Fund quarterly fact sheet, flags the missing disclosure, cites the firm rule on performance disclosures, and the fix is applied. Mira flags item 88211, a message from Dana Reed to Ellen Cole, under Promissory statements because it tells the client the investment cannot lose, and Marcus Okafor escalates it. Below, a policy update drafted by Mira is awaiting approval from Paula Nash.
AI Review
The fund has outperformed its benchmark.
Firm rule: Performance disclosures
Fix applied
MiraItem 88211
Dana Reed to Ellen Cole“Honestly this one can’t lose. I’d put the whole rollover in it.”
Tells the client the investment cannot lose.
MOEscalatedMarcus Okafor
Policy update drafted by Mira · Awaiting admin approval · Paula Nash
03
Workflow and hierarchy shaped to how your firm already works
Red Oak reflects your firm’s supervisory structure, so your team can manage compliance work within the lines of responsibility it already follows.
- Your regions, branches, OSJs and desks built in as they actually are.
- Review assignments, escalation and access follow existing supervisory lines of business.
- One permission model across review, search, and reporting, with SSO and role-based access.
- WORM storage for every record.
The firm's tree: Kelderwick Partners, Northeast region, Hartford OSJ with Branch 114 and Branch 207, and Boston OSJ with the Boston desk beside it. Marcus Okafor supervises Branch 114, which is highlighted. Access to every record runs on SSO, role-based access and WORM storage.
- Kelderwick PartnersFirmNot in view
- Northeast regionRegionNot in view
- Hartford OSJOSJNot in view
- Branch 114MOMarcus OkaforBranchNot in view
- Branch 207BranchNot in view
- Boston OSJOSJNot in view
- Boston deskDeskNot in view
- Hartford OSJOSJNot in view
- ComplianceComplianceNot in view
- Northeast regionRegionNot in view
- SSO
- Role-based access
- WORM storage
04
Integrations
Works with the tools your firm already uses
Connect compliance work to the tools and channels your firm already uses, without replacing the tools where marketing content is created.
- Content and workflow toolsApproved content, disclosures, submissions, and review markups.
- Regulatory and disclosure dataFINRA API data for registrations, licenses, and CRD records, plus approved language from the Disclosure API.
- Collaboration and AI toolsMicrosoft Teams, Slack, Google Chat, ChatGPT, Claude, and more.
- Email and messagingEmail, SMS, iMessage, WhatsApp, Bloomberg Symphony, and more.
- Social media and websitesLinkedIn, Facebook, Instagram, X, YouTube, and your firm’s websites.
The Red Oak record sits at the center. Around it, the FINRA API supplies registrations, licenses and CRD records, and the Disclosure API supplies approved disclosure language. Content and workflow tools (Seismic, Adobe Workfront and Adobe Experience Manager) connect to it, and so do the channel families: email, collaboration and chat, financial messaging, mobile and text, social media and video, generative AI tools, and websites.
What an examiner receives
Review work creates a record as it happens, so your team can draw on what’s already there when a request arrives.
- Advertising ReviewVersions, comments, and approvals kept with each submission.
- SupervisionReview actions recorded with the name of the person who took them.
- CommunicationsCaptured messages produced whole, in their native format.
- RequestsRelevant records held together in a vault for regulatory or litigation requests.
An exam request from Kelderwick Partners is answered with four records. Version history: every version, comment and approval. Review audit trail: each action, with a name. A native-format message, Dana Reed to Ellen Cole. Held in vault.
- Version historyEvery version, comment and approval
- Review audit trailEach action, with a name
- Native-format messageDana Reed to Ellen ColeHonestly this one can’t lose.
- Held in vaultReady for a regulator or litigation request
Across Red Oak
37 of 40
top global asset managers choose Red Oak
1,550+
regulated firms use Red Oak
16 years
of regulator-facing operating history
Also included
Our products
What Red Oak covers, one row per product, with a link into each.
Read moreOur approach to AI
The one definition of Compliance-Grade AI™, answered test by test.
Read moreChannels we cover
Each channel Red Oak captures and how we monitor for risk.
Read moreTrust center
Security, retention and access, and Red Oak's security documents.
Read more
See how the products work at your firm
The first conversation starts with the product you need first and follows the decision record it leaves at each stage.
The platform, answered
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A financial services compliance platform is software that runs a regulated firm's compliance work, such as marketing review, communications supervision and recordkeeping, with each decision on record. Red Oak is one connected platform for marketing review and approval, distribution to advisors, communications supervision and the archive. The six products
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Compliance connectivity means the stages of a compliance program run on one connected platform, so teams move from one stage to the next on the same software. At Red Oak, every decision is on record at every stage, from the first review of a draft to the final archive. See a demo
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Red Oak uses AI inside the review work a compliance team already does. AI Review flags promissory, superlative and potentially misleading language in marketing content, and Mira checks captured messages against the firm's written policies. A person makes every review decision. The AI flags and suggests; it does not approve. Our approach to AI
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Firms start with the product they need first and add others when they are ready. Mira can begin beside the archive a firm already has, with no data migration, and archives that move to Red Oak come across by a defined zero-gap migration method. See a demo
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Each decision needs the reviewer's name, the time and the basis for it, kept where an examiner can see it. On Red Oak's supervision platform, every review action lands on one audit trail as it happens, with the name of the person who took it, and Advertising Review keeps every version, comment and approval on record. Archiving