Small and mid-sized firms
More capacity for the compliance team you have.
Review marketing, supervise communications, and find the records you need with Red Oak tools built around your firm’s work.
A lot to cover. Not a lot of extra time.
Your team may be responsible for marketing review, communications oversight, and responding to requests, often alongside other duties. Red Oak helps make that work manageable.
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Focus attention
Spend review time on potential issues.
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Keep work moving
Route work between the people responsible.
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Find the evidence
Locate records when a question or request comes up.
Three products
Make the work more manageable.
Each product stands on its own. Use the ones your team needs.
Communications supervision
Focus review on real policy issues.
Mira, Red Oak’s AI supervision agent, assesses captured messages against your firm’s supervisory policies and procedures, helping reviewers focus on messages that truly need attention.
- See the policy and handbook clause behind each flag.
- Keep messages with no policy match out of the review queue.
- A person makes every review decision.
Communications supervision
Kelderwick Partners
Review queue
- Jake PriceLinkedIn postFlagged
Stayed out of the queue
Sam PrattI promise to send the lease notes by Friday.
No policy match, not in your queue
Jake PriceOct 13 · 9:30 AMMiraflagged it
This fund is a sure thing for 2027.
Policy
Promissory statements
Handbook clause 4.2, Statements about outcomes. Communications may not state or imply that a result is certain.
Marked non-compliantPaula Nash · Oct 13, 10:42 AM
Advertising Review
Give marketing a 3.3x faster path through compliance review.
Red Oak’s AI Ad Review helps marketing and compliance move from submission to approval over 3 times faster, with workflows your team can configure.
- Run lexicon and disclosure checks before review.
- Use AI review to flag issues in context against your firm's policies.
- Route submissions based on the answers provided.
- Keep versions, comments, and approvals on one record.
Advertising Review · Kelderwick Partners
Webinar invitation
Join Kelderwick Partners for a retirement income webinar on Nov 12.
Investing involves risk, including loss of principal.
1Lexicon and disclosure checks ran before a reviewer opened it.
v1Submitted
Nora Brooks
Oct 8 · 9:05 AM
Comment
Leah Vance: Add the risk disclosure.
Oct 8 · 2:40 PM
v2Uploaded
Nora Brooks
Oct 9 · 10:15 AM
Approved
Paula Nash
Oct 12 · 9:20 AM
Communications archiving
Find the records you need.
Capture and retain supported communications, then find and preserve the records needed for a regulatory or litigation request.
- Search by term, person, platform, and status.
- Save records related to a request together in a vault.
- Retain records in WORM storage.
Archive search
Dana Reed
- Termrollover
- PersonDana Reed
- Your rollover optionsEmail · Oct 13
- I will send the rollover options.Text · Oct 14
Vault
Dana Reed, rollover
- Your rollover optionsEmail · Oct 13On hold
- Dana Reed and Ellen ColeText · Oct 14On hold
Start with what matters most.
Choose the product that addresses your most pressing need. Add others when your firm is ready.
- Marketing reviewMove submissions through review with Advertising Review. Explore Advertising Review
- Communications supervisionFocus review on potential policy issues. Explore Communications supervision
- Records and archivingFind and preserve records for requests. Explore Communications archiving
Get support putting your tools to work.
Red Oak works with your team to configure the products you choose around your policies and day-to-day needs.
- Understand your needsDiscuss your policies, channels, and team’s responsibilities.
- Configure your approachSet up the products around your firm’s work.
- Put the products to workHelp your team begin using them day to day.
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top global asset managers
$101T
AUM across our clients
1,550+
regulated firms use Red Oak
16 years
supporting financial services clients
Find the right starting point for your firm.
Tell us what your team is working through. We'll help you explore the products that fit.
Small and mid-sized firms, answered.
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Start with Advertising Review, communications supervision, or archiving, depending on your firm’s most pressing need. Explore the platform
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Mira runs beside the archive you already use, with no data migration, so review can move onto your own policies while your records stay where they are. When you bring your archive to Red Oak, your history comes across by our zero-gap migration method. Advertising Review files are edited in your own tools and uploaded again, and your administrators set single sign-on through your identity provider. Communications archiving
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Red Oak works with your team to understand your needs, configure an approach and put it into practice. When you move an archive, a defined migration method brings your history across, and your team keeps responsibility for its compliance program. Find your starting point
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Yes. Each product stands on its own, and you can add review, supervision, or archiving as your firm’s needs change. Explore the platform