Books and records
Keep the records. Show the evidence.
Support your firm’s recordkeeping obligations with communications and website archiving that helps your team preserve, find, and produce records. Regulatory requirements include SEC Rule 17a-4 for broker-dealers and Advisers Act Rule 204-2 for investment advisers.
Communications archive
Kelderwick Partners
Request
Dana Reed’s messages, Mar 3 to 10, and the website as of Apr 1
- PersonDana Reed
- DatesMar 3 to 10
- Your quarterly reviewEmail · Mar 4, 4:20 PM
- Can you confirm Thursday’s call with the Coles?Teams · Mar 5, 11:05 AM
- Can we move our review to next week?Text · Mar 6, 9:12 AM
- Retirement planning pageWebsite · as of Apr 1
Dana Reed and Sam PrattTeams · Mar 5
Dana Reed11:05 AM
Can you confirm Thursday’s call with the Coles?
Sam Pratt11:09 AM
Confirmed for 2 PM.
Vault
Dana Reed, Mar 3 to 10
- Dana Reed and Sam PrattTeams · Mar 5Saved
- Your quarterly reviewEmail · Mar 4Saved
37 of 40
top global asset managers use Red Oak
1,550+more than 1,550
regulated firms choose Red Oak.
16 years
of regulator-facing operating history
Recognition and client feedback
8 years
in a row on Inc. 5000's fastest growing companies
84
Net Promoter Score
Visionary
2026 Gartner Magic Quadrant for Digital Communications Governance and Archiving
What does your firm need to retain?
Your recordkeeping obligations depend on your firm’s registration and activities. Both rule sets also address how records are preserved and accessed. Red Oak archives business communications and website content; it does not cover every category of required record.
Broker-dealers
- Exchange Act Rule 17a-3The books and records a broker-dealer makes
- Rule 17a-4How they are preserved: originals received and copies sent, with any approvals
- Electronic recordsA complete time-stamped audit trail, or a non-rewriteable, non-erasable format
- On requestFurnished promptly when SEC staff ask
Investment advisers
- Advisers Act Rule 204-2The books and records a registered adviser makes and keeps
- CommunicationsAbout recommendations, advice, funds and securities, and orders
- AdvertisementsAnd other communications sent to ten or more people
Registered as both: consider both rule sets.
Kept in Red Oak
Business communications and website content
- Dana Reed and Sam PrattTeams · Mar 5WORM storage
- Retirement planning pageWebsite · as of Apr 1WORM storage
How it works
Keep each record ready for the request that asks for it.
Four steps follow a record through Red Oak: it is captured and kept, found when someone asks, gathered into a case for a request, and prepared for production.
01
When records sit across channels and systems
Preserve business communications and websites in one archive.
Red Oak captures content from the channels your firm connects, giving your team a foundation for recordkeeping.
- Capture covers email, collaboration tools, text and messaging apps, social media and websites you connect.
- Records are kept in WORM storage.
- Administrators set retention by communication type.
- From
- Dana Reed
- To
- Ellen Cole
- Sent
- Mar 4 · 4:20 PM
- Subject
- Your quarterly review
Teams
WORM storageDana ReedMar 5 · 11:05 AM
Can you confirm Thursday’s call with the Coles?
Sam Pratt11:09 AM
Confirmed for 2 PM.
Website
Captured Apr 1 · 8:00 AM
WORM storagekelderwickpartners.com
Plan the income you will live on
A retirement plan starts with the income you need each month.
Retention by communication type
- EmailSet by an administrator
- TeamsSet by an administrator
- WebsiteSet by an administrator
02
When stored isn’t easy to find
Find the record you need.
When a question or request arises, your team can search captured communications and review them in context.
- Filter by term, person, platform, and status.
- Open each result in its conversation.
- Browse website pages as they stood on a given date.
Archive search
Dana Reed, Mar 3 to 10
- Termreview
- PersonDana Reed
- PlatformAll
- StatusCaptured
- DatesMar 3 to 10
- Your quarterly reviewEmail · Dana Reed to Ellen Cole · Mar 4
- Can we move our review to next week?Text · Ellen Cole and Dana Reed · Mar 6
Ellen Cole9:12 AM
Can we move our review to next week?
Dana Reed9:20 AM
Of course. Does Thursday at 2 PM work?
Ellen Cole9:31 AM
Thursday works. Thank you.
03
When a request needs more than a keyword search
Build the case from the request.
With Red Oak Supervision V2, Mira turns a regulator’s request or a short description into a case. It drafts the people, platforms and date range to search, and pulls the relevant records into one workspace. Finding records becomes a query, not a project.
- Start a case from a request letter or a short description.
- Mira drafts the scope for your team to confirm.
- Review what Mira finds in context. Your team makes every decision.
Case
Kelderwick Partners
Request
Exam request: Dana Reed’s client communications, Mar 3 to 10
Drafted by Mira
- PeopleDana Reed
- PlatformsEmail, Teams, Text
- DatesMar 3 to 10
Records in this case
- Your quarterly reviewEmail · Mar 4Term match
- Dana Reed and Sam PrattTeams · Mar 5Found by Mira
- Dana Reed and Ellen ColeText · Mar 6Found by Mira
04
When a request becomes a reconstruction project
Prepare records for production.
Bring relevant records together for a regulatory or litigation request.
- Save results for a regulatory or litigation request to a vault.
- Replay a website page on a chosen date.
- Export a case as one package, with its history attached.
1Dana Reed’s messages, Mar 3 to 10
Vault
Dana Reed, Mar 3 to 10
- Your quarterly reviewEmail · Mar 4Saved
- Dana Reed and Sam PrattTeams · Mar 5Saved
- Dana Reed and Ellen ColeText · Mar 6Saved
2Website as of Apr 1
Website replay
Retirement planning page
kelderwickpartners.com · as of Apr 1
Plan the income you will live on
A retirement plan starts with the income you need each month.
- Mar 1Captured
- Apr 1Replayed As of Apr 1
- May 1Captured
Books and records, answered.
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Broker-dealers and investment advisers follow different recordkeeping rules. Broker-dealers look to Exchange Act Rules 17a-3 and 17a-4, which cover the records a firm makes and how it preserves them, including communications that relate to its business. Registered advisers look to Advisers Act Rule 204-2, which includes written communications about advice and recommendations, and advertisements. Which records apply depends on the firm's activities, so counsel confirms the list. See a demo
-
Red Oak archives business communications and website content from the channels your firm connects. Capture covers email, collaboration tools, text and messaging apps, social media and websites. The channels in scope for your firm are confirmed in the first conversation. Communications archiving
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Your firm sets its retention periods, and Red Oak applies the retention settings your administrators choose by communication type. The periods come from the rules that apply to the firm, so counsel confirms them. For electronic records, current Rule 17a-4 allows a recordkeeping system that keeps a complete time-stamped audit trail, or one that keeps records in a non-rewriteable, non-erasable format. Red Oak stores records in WORM storage. Communications archiving
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Find captured communications in context, gather records in a vault for a request, and replay website pages as they appeared on a given date. With Red Oak Supervision V2, your team can also start a case from a request and have Mira draft the scope and gather relevant records for review. See a demo
-
Red Oak follows a defined migration method. The plan depends on your current sources, formats, retention settings, and holds. See a demo
More on communications and website records.
See Red Oak Archiving in action.
Explore how your team can capture, find, and prepare communications and website records for a request.