Supervision
Supervision that sees more. Focus review where it matters.
Red Oak monitors captured communications and firm websites against your policies, helping your team focus on potential issues and keep review decisions on record.
A review queue for Kelderwick Partners captures a Teams message, a text from an advisor's own phone, a LinkedIn post, a website change, and a ChatGPT prompt. Mira clears the others and flags the LinkedIn post for promissory language. The flagged post is routed to Branch 114 review and Marcus Okafor, and the decision trail records each step.
- Dana ReedMicrosoft TeamsDraft note for a client meeting, can you look it over? ReadingCleared
- Dana ReedTextTrusted contactEllen Cole Yes, see you at 2. ReadingCleared
-
Jake PriceLinkedInThis fund is a sure thing for 2027. Promissory statements · Policy § 4.2 ReadingFlaggedEscalated
- WebsitePage changeFees page updated ReadingChange captured
- Dana ReedChatGPT promptSummarize the notes from today’s client meeting. ReadingCleared
9:40
Still on for our 2pm review?
9:40
Yes, see you at 2.
- Flag
- Branch 114 review
- MOMarcus OkaforAssigned
- 9:41Captured
- 9:41Reviewed by Mira
- 9:42Routed to Branch 114
- 9:58Escalated by Marcus Okafor
The Problem
More channels, more pages, the same review team
Representatives want to reach clients where they are, and clients expect to connect across more channels. For supervision teams, each channel brings more conversations to capture and review, without necessarily adding more people to do the work. Firm websites add another moving target, with changes that can occur between review cycles.
How supervision works
How Red Oak supports supervision
From ongoing communications review to website changes and one-off requests, each part of the program helps your team find, review, and document what matters.
01
Capture business communications with their context intact
Red Oak captures email, collaboration, financial messaging, mobile, social media, and generative AI activity, giving your team a foundation for review and recordkeeping.
- 1Threads stay threads, with edits, deletions, and reactions where the channel records them.
- 2Business conversations on BYOD-personal phones captured, with personal contacts left out.
- 3Your firm's websites captured on the schedule set for each site.
- 4Each conversation reaches review and the archive from one capture.
Email, Microsoft Teams, Zoom, Slack, text, LinkedIn, X, ChatGPT, and websites all feed one capture. A Microsoft Teams thread between Dana Reed and Jake Price at Branch 114 is kept in its native format, with an edited message, a deleted message that is retained, and a reaction. On Dana's phone, Ellen Cole and Hartley Family Office are marked Business and captured, and family and friends are marked Personal and left out. A snapshot of kelderwickpartners.com is captured on schedule, and one capture reaches both review and the archive.
Collaboration
Mobile and text
Social
Generative AI
Websites
- DRDana ReedSending the summary to the family now.
- JPJake PriceEditedOne change before it goes out: the second line.👍
- DRDana ReedDeleted · retainedWrong thread, ignore this one.
Trusted Contacts
- Ellen ColeTrusted contactCaptured
- Hartley Family OfficeTrusted contactCaptured
- Family and friendsPersonalLeft out
02
Focus communications review on your firm’s policies
Mira, Red Oak’s AI supervision agent, turns your handbook into a policy program your team approves before it takes effect. Mira assesses messages in context; a person makes every review decision.
- 1The policy, the handbook clause, and Mira's reasoning beside every flag.
- 2Flags classified by policy area and scored for severity.
- 3Mira learns from your team's decisions, and every update waits for a reviewer's approval.
- 4Reviewers spend their time on the messages that carry risk.
Dana Reed's text thread with Ellen Cole, a trusted contact, about an IRA rollover. Dana's line "You really can't lose on this rollover" is highlighted and linked to Handbook section 4.2. Mira's summary shows the policy, Promissory statements, the handbook clause, its reasoning, a severity of High, a prior coaching note, and the rep's history. The reviewer chooses to escalate, close, or add a note, because a person makes every decision. A suggested policy update waits for a reviewer's approval.
- Thinking about rolling my old 401(k) into an IRA. Is it worth it?
- We can compare the options on Thursday.
- My worry is the market dropping right after.
- You really can’t lose on this rollover.4
1Handbook § 4.2Representatives do not state or imply that an investment is guaranteed or cannot lose value.
Mira’s reasoningThe message tells the client the rollover cannot lose, which reads as a performance promise under § 4.2.
- Prior coaching note
- Rep history
3Policy update suggested · Awaiting reviewer approval
03
Route review work to the right people
Workflows organize flagged messages for review according to your supervisory structure. Your team controls when a workflow goes live.
- 1Named owners and reviewer groups, with separation of duties.
- 2Escalation to a named colleague, with a risk level and a note.
- 3Queues placed by your regions, branches, OSJs, and desks.
- 4Workflows run with or without Mira.
The hierarchy, Northeast region, Hartford OSJ, Branch 114, decides who sees what. The workflow decides how review happens. A flagged text between Dana Reed and Ellen Cole lands in the Branch 114 correspondence review queue, is claimed by Marcus Okafor from the Branch 114 supervisors group with separation of duties on, and is escalated to Paula Nash with a risk of High and a note about prior coaching on rollovers. Mira pre-review is on, and the workflow can run without it.
HierarchyWho sees what
- Northeast region
- Hartford OSJ
- Branch 114
WorkflowHow review happens
PNEscalate to Paula NashRisk: High
NotePrior coaching on rollovers.
04
Find and review changes across your websites
Website monitoring brings changes from your archived sites into one review process, where compliance can assess and record a decision.
- 1Every addition, removal, and update, in one inbox.
- 2The text before and after, side by side.
- 3The archived page as it stood on its capture date.
- 4The decision kept with the change, under the reviewer's name.
The Website changes inbox lists changes to four Kelderwick Partners pages, each marked as an addition, a removal, or an update. The change to kelderwickpartners.com/fees is open: the text before, on October 7, and after, on October 14, side by side, with the dropped disclosure struck through. The archived page as captured is one click away. The decision line records Non-compliant, by Paula Nash, with the time.
- /feesUpdate
- /advisors/dana-reyesAddition
- /insights/market-outlookUpdate
- /disclosuresRemoval
Before · Oct 7
Our advisory fees are set out in the schedule below.
Past performance is no indication of future results. The value of investments can fall as well as rise.
After · Oct 14
Our advisory fees are set out in the schedule below.
Disclosure removed
05
Case management
Work audits and requests as documented cases
When a legal request, branch audit, or exam letter calls for focused review, open a case alongside your ongoing supervision program.
- 1Built from the request itself.
- 2Mira flags what needs a person, with its reasoning.
- 3Findings recorded or cleared by your team.
- 4Exported whole, with a case report.
Messages flow into the review queue that Mira and Workflows run ongoing review from. A slice of the same stream, January 1 to June 30, 2026 and Dana Reed, splits off into a case called Cole account review, opened from a Kelderwick Partners Legal request. In it, item 88211, a text saying this one can't lose, is flagged by Mira as reading like a performance promise, and Paula Nash records it as a finding. The case exports with a case report.
Review queueMira and Workflows
Jan 1 to Jun 30, 2026Dana Reed
1From: Kelderwick Partners Legal request
CaseCole account review
2Mira · Reads as a performance promise
3Finding · Paula NashClear
4Case report · Export
Supervision teams on Red Oak see
98%
reduction in false positive alerts with Mira
80%
less time spent on communications review with Mira
<90
seconds from handbook upload to policies live
Show the evidence behind your supervision decisions
Review actions are recorded as they happen, including the time. When an examiner requests the record, your team can provide the decisions alongside the context behind them.
- 1Each review action recorded as it happens, with a name.
- 2The conversation produced whole, in its native format.
- 3The policy and the reasoning behind every flag, kept with the decision.
- 4Website decisions kept with the change they answer.
An examiner request is answered with one export for Branch 114. It holds the audit trail with a name and a time on every action, the Ellen Cole text thread in its native format, the policy Promissory statements at Handbook section 4.2 with Mira's reasoning, and the website decision for the fees page, Non-compliant, by Paula Nash.
1Audit trail
- Captured
- Reviewed by Mira
- Claimed by Marcus Okafor
- Escalated to Paula Nash
- Closed by Paula Nash
2Ellen Cole
Thinking about the rollover.
You really can’t lose on this rollover.
Okay, thanks.
3Promissory statements
Handbook § 4.2
Mira’s reasoning: the message tells the client the rollover cannot lose, which reads as a performance promise.
4Website decision
/fees
Non-compliantPaula Nash
Exam export · Branch 114
- 1Audit trail
- 2Thread, native format
- 3Policy and reasoning
- 4Website decision
The products inside Supervision
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Cleared
Flagged
Cleared
Communications supervision
Captured messages reviewed against your firm's policies, with every decision recorded.
Read more -
Live
Policy program v1
Mira: Supervision Agent
An AI supervision agent that works from your firm's own handbook and explains every flag.
Read more -
Branch 114
MOMarcus Okafor
Workflows
Review queues with named owners, reviewer groups, and separation of duties.
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Jan 1 to Jun 30, 2026Dana Reed
Finding
Case management
Audits and one-off requests, built as cases and exported with a report.
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Website monitoring
Every change across your archived websites, reviewed and on record.
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Business
Personal
BYOD and Trusted Contacts
Business conversations on personal phones captured, with personal contacts kept out.
See supervision run on a program like yours
See how Red Oak can support the channels and policies your firm supervises, from a flagged message to a recorded decision.
Supervision, answered
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Supervision is FINRA's term for a firm's duty to oversee its people under FINRA Rule 3110. Surveillance usually describes the automated review that flags communications for a person to assess. Red Oak supports both against your firm's policies. Mira
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Red Oak supervises the channels it captures, each kept as its native thread. They include email from Microsoft 365, Exchange, and Google Workspace; Microsoft Teams, Slack Enterprise Grid, and Zoom Team Chat; Bloomberg, ICE Chat, and Symphony; iMessage, WhatsApp, and text messages; LinkedIn, X, Facebook Pages, and Instagram business accounts; generative AI tools; and the firm's websites. Channels
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AI reads each message in its thread against the firm's policies, so the review queue holds the messages that need a decision. Firms using Mira have seen a 98% reduction in false positive alerts in communications supervision. Each flag carries its reasoning, and a reviewer makes every decision. Mira
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FINRA Rule 3110 requires a broker-dealer to supervise its associated persons under written supervisory procedures, including review of correspondence and internal communications about its securities business. Red Oak records each review decision on one audit trail, with the reviewer's name and the time. Communications supervision
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Firms capture and review business conversations on personal phones while leaving personal conversations out. On Red Oak, each employee marks personal contacts once with Trusted Contacts on iOS or Android, conversations with those contacts are never captured, and business threads on iMessage, WhatsApp, and text reach the same review queues as email.