Descriptions of every Red Oak product and module, grouped by product family. Use the search box to jump straight to the ones on your order form.
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Compliance
Product
Module
Description
Availability
Ad Review
Ad Review
Ad Review is Red Oak's core marketing content review platform. Marketing, compliance, legal, and business stakeholders collaborate through parallel reviews, automated notifications, document annotation, and version comparison, with a complete audit trail on every submission. All workflow and rules configurations are included.
All Packages
Ad Review
AI Review
AI Review scans marketing material and provides Compliance-Grade AI™ feedback to submitters before human review begins and/or reviewers to highlight the biggest areas of concern. AI Review reduces review cycles, reviewer burden, and time-to-approval.
All Packages
Ad Review
Submissions Report
The Submission Report provides a complete, time-stamped audit trail of a single marketing submission, allowing easy gathering of all relevant data pertaining to a submission for audit preparedness or archival purposes in a single PDF document.
All Packages
Ad Review
Enhanced Review
Enhanced Review adds side-by-side document comparison and in-platform annotation for Microsoft Office files, enabling reviewers to confirm changes and mark up documents natively within Red Oak. Included are annotation on PDFs, video, and audio files.
All Packages
Disclosure Manager
Disclosure Manager
Disclosure Manager is a centralized library and management system that serves as the single source of truth for all firm disclosures. The platform supports importing, exporting, versioning, usage instructions, and language variations, with a full audit trail.
Premium Only
Disclosure Manager
Disclosure Intelligence
Disclosure Intelligence enables Clients to define required disclosures based on attributes such as document text, content type, audience, and distribution channel. It identifies which disclosures should appear on a given document and flags any that are missing or extraneous, incorporating Client's policies and procedures directly into the review workflow.
Premium Only
Registration Management
Registration Management
Registration Management automates licensing and registration tracking for firm representatives, with an API interface to update FINRA data simultaneously — reducing manual data entry and the risk of registration discrepancies. Note: FINRA charges separately for access to their API.
Add-on
APIs
Submission API
The Submission REST API is an industry-standard programmatic interface that allows developers (or third parties) to interact with Red Oak submissions. Common uses include integration with marketing systems to create submissions, distribution of approved material, pulling expired material, feeding data to reporting solutions, and more.
APIs
User Management API
The User Management REST API is an industry-standard programmatic interface that allows developers (or third parties) to manage users, enabling automated user activation/deactivation, group membership, and visibility profiles. This API is essential for organizations with large numbers of users or complex hierarchies, enabling integration of a backend hierarchy or directory with Red Oak's user profiles.
APIs
Annotations API
The Annotations API allows direct connection to Red Oak to send annotations and embed them into PDF documents or retrieve existing document annotations.
APIs
Disclosure API
The Disclosure REST API is an industry-standard programmatic interface that allows developers (or third parties) to retrieve disclosures and metadata from Disclosure Manager for use in other systems.
APIs
Registration API
The Registration API provides programmatic access to individual registration records managed within Red Oak's platform. It supports retrieving full or abbreviated individual records and updating individual-level attributes — the core read and write operations for registration data integrations.
Distribution
Product
Module
Description
4U Connect
4U Connect
4U Connect enables investment companies to submit, manage, and distribute approved content, sales contacts, and calendar events to wealth management firms and platform providers through a centralized content repository.
4U Connect
Red Oak 4U Connector
The Red Oak 4U Connector integrates Red Oak's Compliance platform with 4U Connect, automating the creation and updating of Content Records across both systems and eliminating manual re-entry. Available to clients subscribed to both the Compliance and Distribution platforms.
4U Engage
4U Engage
4U Engage is an advisor-facing content portal that gives wealth management advisors a single destination for approved investment company content. Advisors can search, follow, bookmark, and engage with content from multiple investment companies in one place, with resources surfaced based on their interests and activity. Investment companies gain visibility into advisor engagement and can connect advisors with the right wholesaler contacts based on location.
4U Engage
Partner Portal
The Partner Portal is a dedicated space within 4U Engage where wealth management firms share curated content directly with their investment company partners, including submission guidelines, policies, key initiatives, training and education, and other firm-specific resources.
4U Engage
Campaign Hub
The Campaign Hub enables investment companies to curate and present themed collections of approved content in a structured, branded format, surfaced to advisors through the Company Page Spotlight in 4U Engage.
4U Analytics
Standard Analytics
Standard Analytics gives investment companies visibility into how advisors are engaging with their content, including views, prints/downloads, bookmarks, follows, shares, and info and meeting requests.
4U Analytics
4U Premium Analytics
4U Premium Analytics extends Standard Analytics with additional reporting including total activity summaries, peer benchmarks, and usage statistics such as top search queries, most viewed tags, and content with highest activity.
Supervision
Social Media & Internet Supervision
Product
Module
Description
Availability
Social Media Compliance
Social Media Compliance
Red Oak's Social Media Compliance product monitors and archives static and dynamic content across LinkedIn, Facebook, Instagram, and X. Representatives submit posts for preapproval and access a shared content library; compliance teams manage policies, perform pre- and post-reviews, and access archived content. Fully customizable workflows, lexicons, and audit-ready records are included.
All Packages
Social Media Compliance
Influencer Monitoring
Influencer Monitoring extends social media supervision to "finfluencers" and sponsored content creators. The module identifies undisclosed sponsorships and enforces proper disclosure requirements across influencer partnerships.
Add-on
Social Media Compliance
Affiliate Monitoring
Affiliate Monitoring reviews affiliate-generated content and links across partnership networks, ensuring that third-party promotional materials remain compliant with firm policies and regulatory requirements.
Add-on
Website Monitoring
Website Monitoring
Website Monitoring tracks and archives firm and advisor websites, including those hosted by non-approved providers. It generates workflow events based on configurable rules for specific change types—new pages, text modifications, image changes, and more. Monitors websites, YouTube Channels, and Google My Business Accounts. Includes the industry's most powerful rules engine, bundling technology, and escalation case management.
All Packages
Internet Supervision
Internet Supervision
Internet Supervision uses AI and machine learning to discover undisclosed social media accounts, websites, blogs, OBAs, DBAs, online profiles, and events belonging to or about the firm's advisors. Includes Secretary of State searches across all 50 states, review-once workflows, automated documentation, and bundling technology. 17(a)-4/WORM compliant storage.
All Packages
Communications Supervision
Product
Module
Description
Availability
Email Supervision
Email Supervision
Real-time, fully indexed archiving and supervision of all Outlook and Gmail communications. Captures message bodies, headers, subject lines, recipients (To, CC, BCC), and all attachments. Includes configurable capture by user, department, or domain; intelligent exclusion filters; searchable attachments with independent flagging; keyword flagging and bulk review tools; and audit-ready exports in regulator-friendly formats. Compliant with SEC Rule 17a-4, FINRA 3110 and 4511.
All Packages
Text Messaging
Text (SMS, iMessaging)
Captures and archives SMS and iMessage communications from both personal and firm-owned devices. Includes message bodies, attachments (documents, images, voice notes), scheduled and automated threads, and full message metadata (timestamps, sender/recipient, delivery confirmations).
All Packages
Team Communication
Team Communication
Supervision and archiving for business collaboration platforms including Microsoft Teams, Slack, and Zoom. Captures messages, threaded replies, reactions, attachments, and embedded media across channels and direct messages.
All Packages
Team Communication
Messaging Apps
Extends communications capture to WhatsApp, Telegram, Signal, Bloomberg, ICE Chat, Symphony, and RingCentral. Same archiving and supervision capabilities as core communications channels.
Add-on
Team Communication
Streaming Platforms
Archiving and supervision of video and streaming content from YouTube, Vimeo, and other supported platforms.
Add-on
Supervision Platform Capabilities
Product
Module
Description
Availability
Channel Registration & Connector Provisioning
Channel Registration & Connector Provisioning
Create organization accounts and provision connectors for supervised communication channels, including email, collaboration platforms, mobile, social media, and voice. Register individual users, distribution lists, or entire directory groups as in-scope for capture.
All Packages
Communications Capture & Archiving
Communications Capture & Archiving
Continuous, near-real-time capture of communications across registered channels into a tamper-evident, WORM-compliant archive (SEC 17a-4, FINRA 4511). Captures message bodies and threaded replies, attachments and embedded media, edits, deletions, and reactions (where supported natively), participant metadata and timestamps, and channel/room context and conversation history.
All Packages
Communications Inventory & Search
Communications Inventory & Search
Full-archive search of messages, attachments, participants, channels, and conversations using free-text, metadata filters, date ranges, channel scope, and user/group scope. Export search results and individual conversations for eDiscovery, regulatory request, or legal hold.
All Packages
Supervision Actions
Supervision Actions
Review flagged communications with full conversation context, thread reconstruction, and attachment preview. Mark items as reviewed, cleared, or non-compliant on an item-by-item basis or in bulk. Apply bulk actions to similar items (same sender, same policy trigger, same conversation, or same risk pattern). Add comments, reviewer notes, and escalate for further investigation. Complete audit trail with automatic time and date-stamping.
All Packages
Review Groups
Review Groups
Group individuals by office, region, business unit, or supervised-person hierarchy (e.g., registered representatives under a named principal). Assign specific users/reviewers to one or more review groups, including many-to-many principal-to-rep relationships.
All Packages
Workflows
Workflows
Design, version, and publish supervision workflows using a visual, node-based workflow engine. Scope workflows and policies by input source and review group. Route and escalate items based on filters, Mira classification, and conditional branching. Create workflows via natural language. Workflow versioning with draft/published states, change audit, and rollback.
All Packages
Roles & Permissions
Roles & Permissions
Create custom roles and permissions including reviewer, supervisor, compliance officer, and administrator. Granular access controls to suit the firm's organizational structure.
All Packages
Mira — Agentic Compliance Supervision
Product
Module
Description
Availability
Mira
Policy Ingestion & Generation
Upload compliance handbooks, written supervisory procedures (WSPs), code of ethics documents, marketing review guidelines, and regulatory notices (SEC, FINRA, state) directly into Mira. Mira automatically generates a proposed policy library—extracting supervisory obligations, translating them into detection criteria, mapping each policy to the source paragraph for auditability, and surfacing gaps or contradictions for compliance review before activation.
All Packages
Mira
Intelligent Triage & Disposition
Mira auto-triages flagged items by reading full conversation context, classifying risk with explainable reasoning, and disposing of low-risk items before they reach a human queue. Policies can be scoped to specific channels, review groups, roles, or supervised-person hierarchies, and versioned as the underlying handbook is updated.
All Packages
Mira
Explainable Case Summaries
Generates explainable case summaries on escalation, including the triggering policy, the handbook clause it derives from, conversation context, rep history, and Mira's reasoning for the recommended action.
All Packages
Mira
Natural-Language Query
Answer natural-language questions across the supervision corpus with cited evidence. Enables compliance officers to interrogate the archive conversationally.
All Packages
Mira
Continuous Learning
Mira learns from reviewer decisions over time, improving triage accuracy and reducing false-positive volume on a per-firm basis. Full audit trail of every Mira action, including model version, source handbook reference, inputs, reasoning, and outcome.
All Packages
Reporting
Product
Module
Description
Availability
Reports
Reports
Export review data, capture data, and audit logs in CSV, JSON, or regulator-ready formats. Includes reviewer productivity reports, supervision volume reports, Mira performance reports, and attestation and audit reports suitable for SEC, FINRA, and internal audit examinations.
All Packages
Platform Capabilities and Integrations
Capability
Description
Availability
Single Sign-On (SSO)
Single Sign-On enables automatic authentication into Red Oak via the corporate identity system using the SAML 2.0 standard. Compatible with most identity providers, including Okta, ADFS, and others.
All Packages
Sandbox / Test Environment
Sandbox is a separate environment within Red Oak's production infrastructure for testing new features, configuring workflows, validating integrations, and training users. Limited workflow migration between production and sandbox is available.
