Red Oak founded by Stephen Pope, Cathy Vasiliev, and Rick Grashel to with a vision to create smarter, more efficient compliance solutions for the financial services and insurance industries. Long time industry veterans, the team knew they could address the many shortcomings of existing advertising review software and consulting services by creating a true Compliance Connectivity Platform.
Launched Red Oak’s first Ad Review module and quickly earned a reputation for being the best, most configurable advertising review software available..
Added first 2 employees to support growing client demand.
Introduced FINRA Filing solution.
Expanded with Ad Review with Smart Review and early AI enhancements. Also added Disclosure Management, Registration Management, and Complaint Management modules to help our clients further improve risk management and operational efficiency. Added two top-25 investment companies to the Red Oak client family
Named to Inc 5000 for the first time (an acknowledgement that has been reaffirmed every year since).
Honored in RegTech100 for the first time (as well as every year since).
Named to Financial Times List of the Americas’ Fastest Growing Companies (and every year since).
Released Registration Management module.
Partnered with Mainsail Partners a private equity firm created to help founder-led companies amplify growth. This investment provided the resources needed to accelerate innovation, enhance Red Oak’s platform, and dramatically expanded R&D and product innovation. Named to AI FinTech 100 for the first time (and every year since).
Acquired SiteQuest Compliance, which added best-in-class supervision tools like Website Monitoring and internet Supervision to the Red Oak Compliance Connectivity Platform.
Named to Financial Times list for the fifth consecutive year.
Acquired 4U platform, merging Red Oak’s leadership in advertising compliance and marketing review software with 4U’s leading content distribution, engagement and analytics solution. Additionally, expanded supervision suite to cover email, messaging and collaboration. These moves redefined what is available to financial services firms by linking mission critical internal compliance workflows with the broader distribution ecosystem, creating the industry’s first true Compliance Connectivity Platform.
Named to Inc 5000 for seventh year in a row.
Red Oak serves 2,300+ global firms, including almost all of the top 20 asset managers, and is the industry’s only Compliance Connectivity Platform provider.
