Why Red Oak
Compliance software your whole committee can stand behind
Red Oak runs marketing review, distribution, supervision, and archiving on one connected platform, with 16 years of regulator-facing operating history. The case below answers each person who signs off.
The program you answer for keeps growing
Your firm publishes more, talks to clients on more channels, and is expected to use AI, and every decision has to hold up in front of an examiner. Review volume grows faster than the team, a new channel reaches the business before the program can capture it, and an exam request that covers what the firm published and what its people said is answered from several records.
- Reviewers spend part of every week on alerts carrying no risk.
- A new channel arrives before the program can capture and review it.
- Tool sprawl and exam prep eat the quarter.
- The CCO answers for any gap between the records.
Four stages, one connected platform
An exam request can reach across what the firm approved, who received it, and what advisors then said to clients about it. Red Oak is one connected platform for marketing review and approval, distribution to advisors, communications supervision, and the archive, and teams move from one stage to the next on Red Oak software.
- Every decision on record at each stage.
- All four stages on one audit trail and one permission model.
- Compliance management beneath itwho is licensed, who supervises whom.
- Analytics drawn from each product's own records.
Review configured to each entity and product line
Advertising Review takes each marketing submission through the review workflow the firm has configured for that entity and product line, and keeps every version, comment, and approval on record. Workflows, routing, roles, and rules are set per registered entity and per product line, so a fund family runs each entity under its own review. Red Oak's clients include 37 of the top 40 global asset managers.
- Marketing content created in your own tools, reviewed in Red Oak.
- Every version, comment, and approval kept with the submission.
- Review set per registered entity and per product line.
- Founded by compliance practitioners, with 16 years of operating history.
AI your team can explain and control
Red Oak uses AI inside the review work a compliance team already does, and a person makes every review decision. We call this Compliance-Grade AI™: explainable findings, policy-based controls, human oversight, and an auditable decision history.
- Mira for Advertising Review flags promissory, superlative, and potentially misleading language.
- Mira shows the policy, the handbook clause, and its reasoning.
- Every update Mira drafts waits for a reviewer's approval.
- A 98% reduction in false positive alerts in communications supervision.
Approved content reaching the advisors who use it
Investment companies send approved content to wealth management firms, which approve it through their own process, and advisors find approved content in one portal. The investment company sees how advisors view, download and share it.
- Both sides of the network working in one place.
- Wealth management firms approving through their own process.
- Advisors finding current, approved content in one portal.
- Approved content carrying its approval record into the network.
Each conversation kept as the thread it was
Red Oak captures each channel once, and the same capture feeds supervision and the archive. Threads stay threads, with edits, deletions, and reactions where the channel records them.
- Email, collaboration and chat, financial messaging, mobile and text.
- Social media and video, generative AI tools, and your firm's websites.
- Personal contacts marked once with Trusted Contacts are never captured.
- Captured messages on WORM storage, searchable and ready to produce.
One answer for each person who signs off
A compliance software decision passes through compliance, operations, finance, procurement, security, and legal. The short answers are below, each with the page that goes deeper.
Chief Compliance Officer
You answer personally for a program spread across the firm's teams, channels, and records. A person makes every review decision, each Mira flag carries the policy behind it, and every decision is on record at every stage.
Read moreCOO
Tool sprawl and exam prep eat the quarter. Four stages on one connected platform, set up to your entities and product lines, so exam prep draws on the record each stage already keeps.
Read moreCFO
The first commitment has to be one the firm can see working. Firms start with the product they need first, so the first decision covers one product.
Procurement
You have to defend the spend internally. 37 of the top 40 global asset managers and more than 1,550 financial services firms use Red Oak, and each figure on this page carries its source.
CISO
Residency, retention, and third-party risk clear before anything else does. Records on WORM storage for the retention period your firm sets, with single sign-on and administrator-managed access on the supervision platform.
Read moreGeneral Counsel
Every record has to be producible intact. Captured messages kept in the form they were sent, searchable by term, person, platform, and status, with a vault for what a request needs.
Read more
- Red Oak company data, checked against, as of.
- Red Oak company data. Count of financial services firms using Red Oak, as of.
- Red Oak company data, to 2026.
Firms start with the product they need first and add others when they are ready. A firm can start supervision with Mira beside the archive it already has, with no data migration, and when it moves its archive to Red Oak its history comes across by a defined zero-gap migration method.
- Red Oak sets up each product with your administrators.
- Advertising Review set up to the workflows you configure.
- Your handbook becomes Mira's policy program, approved by your team.
- No exit fees on supervision or archiving.
Start with the product you need first
Questions committees ask about Red Oak
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Red Oak provides compliance software for financial services firms: advertising and marketing review, distribution of approved content to advisors, communications supervision and archiving, and compliance management. Review, distribution, supervision, and archiving run on one connected platform, with every decision on record at each stage. Platform
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More than 1,550 financial services firms use Red Oak, including 37 of the top 40 global asset managers. Clients include asset managers and fund companies, wealth managers and RIAs, broker-dealers and insurance firms. See a demo
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A compliance software evaluation should test four things: whether every decision is on record, whether a person controls the AI and can explain it, how records are kept and produced, and how small the first step can be. Red Oak keeps every decision on record at each stage, leaves every review decision with a person, keeps messages on WORM storage, and lets firms start with one product. See a demo
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Red Oak uses AI inside the review work a compliance team already does, and a person makes every review decision. Mira for Advertising Review flags promissory, superlative, and potentially misleading language before a reviewer opens a submission. Mira for Supervision, Red Oak's supervision agent, checks each message against the firm's written policies and shows the policy, the handbook clause, and its reasoning beside the reviewer's decision. Our approach to AI
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Firms start with the product they need first and add others when they are ready. A firm can begin supervision with Mira beside the archive it already has, with no data migration, or begin with Advertising Review set up to its own review workflows. See a demo
Bring your committee to the demo
The first conversation covers the product you need first, shown on a program like yours, with time for each person's questions.