Solutions
Compliance software by firm type, size, and obligation
Red Oak runs marketing review, distribution, supervision, and archiving for SEC and FINRA regulated firms: advisers and private fund managers, broker-dealers, dual registrants, and asset managers and fund companies.
| Compliance management | Review | Distribution | Supervision | Archiving | Analytics | |
|---|---|---|---|---|---|---|
| Broker-dealers | Applies | Applies | Applies | Leads | Applies | Applies |
| RIAs and wealth managers | Applies | Applies | Applies | Applies | Applies | Applies |
| Dual registrants and hybrid firms | Applies | Applies | Applies | Leads | Applies | Applies |
| Asset managers and fund companies | Does not apply | Leads | Leads | Applies | Does not apply | Does not apply |
| Hedge funds and private funds | Does not apply | Does not apply | Does not apply | Leads | Leads | Does not apply |
| Insurance and annuity carriers | Leads | Leads | Does not apply | Does not apply | Does not apply | Does not apply |
Across Red Oak
37 of 401
of the top 40 global asset managers are clients
- Red Oak company data, checked against, as of.
Recognition and client feedback
8 consecutive years
84
Net Promoter Score
Visionary
in the 2026 Gartner Magic Quadrant for Digital Communications Governance and Archiving
By firm type
Each type of firm answers to its own rulebook, and the rulebook decides which products carry the most weight.
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Retail communication
MOPrincipal approvalMarcus OkaforApproved
FINRA 2210FINRA 3110
Broker-dealers
Supervision under written procedures, principal approval of retail communications, and records kept (FINRA Rules 3110 and 2210; SEC Rule 17a-4; FINRA Rule 4511). Supervision leads.
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PoliciesAnnual review
JFMAMJJASOND
206(4)-7204-2206(4)-1
RIAs and wealth managers
Written policies reviewed each year, books and records, and advertising under the Marketing Rule (Advisers Act Rules 206(4)-7, 204-2, and 206(4)-1). Every product applies.
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One advisor's message, both rulebooks
Dual registrants and hybrid firms
Both rulebooks at once, often for the same advisor's messages. Supervision does the most work.
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Fact sheetApproved
HarrowgatePike & RoweKelderwick
FINRA 2210Rule 482
Asset managers and fund companies
Fund marketing reaching investors through broker-dealers, and retail communications filed with FINRA (FINRA Rule 2210; Securities Act Rule 482). Review and distribution lead.
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Keep this quiet until the deal closes.
FlaggedConfidential information
Kept in the record
Hedge funds and private funds
Books and records and the Marketing Rule, with personal trading and confidential information driving conduct risk (Advisers Act Rules 204-2 and 206(4)-1). Supervision and archiving lead.
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Variable annuity brochure
FINRA 2210State advertising rules
Approved
Insurance and annuity carriers
Variable product marketing through the distributing broker-dealer, beside state insurance advertising rules (FINRA Rule 2210). Review and registration lead.
By firm size
Size changes how many people run compliance and how a firm buys.
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ReviewSuperviseRecords
PNPaula NashCCO and COO
Small and mid-sized firms
One or two people review the marketing, supervise the messages, and keep the records for the whole firm, and the CCO often holds another title.
Read more -
Kelderwick Partners
AdvisoryDRBrokerageMOFundsPN
Security review
Enterprise
Many registered entities and business units, each with its own reviewers, and a security review before any purchase.
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By obligation and use case
Some firms start from the rule they answer to or the request in front of them. Each page answers the regulatory question first, then shows where the record lives.
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SEC 17a-4204-2FINRA 4511
Books and records (SEC 17a-4)
Which records a firm keeps, for how long, and in what form (SEC Rule 17a-4; Advisers Act Rule 204-2; FINRA Rule 4511).
Read more -
Captured
17a-4(b)(4)204-2(a)(7)
Off-channel communications
A business conversation is a record whatever app or device carries it (SEC Rule 17a-4(b)(4); Advisers Act Rule 204-2(a)(7)).
Read more -
Exam request
ApprovalsReview
DecisionsSupervision
MessagesArchiving
Exam readiness
What an examiner asks for first, and where each record already sits.
Read more -
Dana ReedJan 1 to Jun 30
Export for the request
Investigations and regulatory requests
A request that names one advisor, answered from records already kept.
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Compliance software by firm type, answered
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Small firms usually run compliance with one or two people, often a chief compliance officer who holds another title too. They need marketing review, supervision, and records in one place, and supervision that puts what needs a decision in front of the reviewer first. Red Oak's Mira checks each captured message against the firm's own handbook. Small and mid-sized firms
Red Oak company data, checked against, as of.
See Red Oak for a firm like yours
Tell us your firm type and the product you need first. The demo starts there, with your channels and your review workflow.