What Red Oak Compliance Solutions. does

Red Oak Compliance Solutions is a private financial services compliance software company founded in 2010 and headquartered in Cedar Park, Texas. The company sells a unified platform-plus-modules architecture to broker-dealers, registered investment advisors (RIAs), banks, and insurance companies, addressing regulatory review, disclosure, registration, supervision, and compliant content distribution workflows.

The platform comprises eight integrated modules: Advertising Review, Disclosure Management, Registration Management (with seamless FINRA integration for books and records tracking), AI Review (leveraging Large Language Models and prompt engineering for advertising compliance), Internet Supervision, Social Media Compliance, Website Monitoring, and a Distribution & Engagement Platform. Underpinning these modules is a configurable, books and records compliant workflow engine designed for use-case customization.

Red Oak operates a SaaS subscription model sold through direct enterprise field sales with quote-based annual billing and 24/7 customer support (sub-one-hour average ticket resolution, >99.9% uptime). The company claims 1,800+ firm customers globally, including partnerships with over half of the top 20 asset managers, and reports an NPS score of 84. In June 2023, Mainsail Partners invested $51 million in a private equity round, which the company has since deployed into acquisitions of SiteQuest Compliance (March 2024) and 4U Platform (April 2025), as well as global customer support expansion.

Name

Red Oak Compliance Solutions.

Legal name

Red Oak Compliance Solutions

Website

https://redoakcompliance.com

Company type

Private

Founded year

2010

Operating status

Operating

Headcount range

11–50 employees

Short description

Red Oak Compliance Solutions provides SaaS-based compliance workflow software for broker-dealers, RIAs, banks, and insurance companies, with modules for advertising review, disclosure management, registration management, and LLM-powered review serving 1,800+ financial services firms globally.

Ownership category

akta.pro rank

Product category

Financial Services Compliance Software

NAICS

Custom Computer Programming Services (541511)

SIC

Services-Computer Programming, Data Processing, Etc. (7370), Services-Management Consulting Services (8742)

akta.pro primary industry

Risk Controls & Pre-/Post-Trade Compliance (Best Execution, Limits, Suitability) (FSAFAKAJ)

akta.pro secondary industry

Audit Management, Controls & SOX Compliance (BPAEAPAH)

Keywords

• Advertising compliance software
• Financial services compliance
• Broker-dealer compliance
• RIA compliance platform
• Regulatory review software

Headquarters

HQ city

Cedar Park

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Software

Cost components

Personnel, Technology or R&D, Operations, Marketing or Sales, Infrastructure

Revenue model

1. Compliance Software Subscription: SaaS-based compliance software subscription model for financial services firms including broker-dealers, RIAs, banks, and insurance companies. The platform provides advertising review, disclosure management, registration management, social media compliance, and distribution services.

Pricing tiers

Go-to-market motion1 record

Distribution channels1 record

Marketing channels5 records

Core offering

Red Oak Compliance Solutions provides a SaaS-based financial services compliance platform that helps broker-dealers, registered investment advisers (RIAs), banks, and insurance firms review, approve, and supervise advertising, disclosures, registrations, social media, and website content. The offering combines a core compliance review platform with specialized modules for advertising review, AI-assisted review, disclosure management, registration management, internet supervision, social media compliance, and website monitoring. The platform is used by more than 1,800 firms and end-users in 50 countries to meet FINRA, SEC, and state regulatory obligations.

Product overview

Red Oak Compliance Solutions offers a unified platform-plus-modules architecture for financial services compliance software. The core platform provides a books and records compliant workflow engine with unmatched configurability. Individual modules include Advertising Review, Disclosure Management, Registration Management, AI Review (LLM-powered), Internet Supervision, Social Media Compliance, and Website Monitoring — all integrated within a Distribution & Engagement Platform that helps firms manage content creation, review, distribution, and regulatory oversight across broker-dealers, RIAs, banks, and insurance companies.

Differentiator

Problem solved

Functional benefit

Products and services

• Advertising Review Advertising review module that enables broker-dealers, RIAs, banks, and insurance firms to review, approve, and archive retail communications and marketing materials to meet FINRA, SEC, and state advertising rules.
• AI Review AI-assisted review module that automates and accelerates compliance review of marketing materials and communications, flagging issues for human reviewers.
• Disclosure Management Disclosure management module for generating, tracking, and maintaining regulatory disclosures required of broker-dealers, RIAs, banks, and insurance carriers.
• Registration Management Registration management module that tracks representative and firm licensing, registrations, and related disclosure workflows.
• Internet Supervision Internet supervision module for monitoring and reviewing digital communications and online activity of registered representatives and firm personnel.
• Social Media Compliance Social media compliance module that captures, archives, and reviews approved and unsolicited social media posts from financial professionals.
• Website Monitoring Website monitoring module that scans firm and representative websites for compliance issues, broken disclosures, and regulatory changes.
• Distribution & Engagement Platform Distribution and engagement platform that enables insurance carriers, banks, and broker-dealers to manage marketing material review and distribution workflows with their agents, advisers, and producers.

Quantifiable outcome

• 24/7 support availability
• +4 more outcomes

Named customers2 records

Segments4 records

Ideal customer profiles3 records

Technology focussed Yes

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration1 record

AI capability2 records

Feature8 records

Scale indicators5 records

Direct peers

• Smarsh: Smarsh provides archiving, communications surveillance, and compliance software for financial services firms, directly overlapping with Red Oak's social media compliance, internet supervision, and advertising review modules. Both target broker-dealers, RIAs, and banks with similar enterprise sales motions.
• Global Relay: Global Relay offers compliance archiving, supervision, and eCommunications solutions to financial firms — directly comparable to Red Oak's supervised communication, advertising review, and records-retention offerings for the same broker-dealer and RIA segments.
• StarCompliance: StarCompliance provides employee compliance, conflicts of interest, and trade surveillance software for financial services. It is a direct peer serving broker-dealers and asset managers with overlapping compliance workflows, though focused more on insider trading and code-of-ethics than advertising.
• RegEd: RegEd offers compliance, registration, and continuing education software for broker-dealers and investment advisers. Its registration management and licensing tracking overlap directly with Red Oak's Registration Management module and its FINRA integration.
• BasisCode: BasisCode offers advertising compliance review and approval workflow software for broker-dealers and RIAs — a near-exact direct competitor to Red Oak's Advertising Review and Disclosure Management modules in the same target buyer segment.
• ArchiveSocial: ArchiveSocial provides social media archiving and compliance solutions for regulated industries including financial services. It directly overlaps with Red Oak's Social Media Compliance module for broker-dealers and RIAs subject to FINRA and SEC recordkeeping rules.

Broad incumbents

• Wolters Kluwer Compliance Solutions: Wolters Kluwer provides a broad suite of regulatory compliance, banking compliance, and securities compliance software through its Compliance Solutions division. It overlaps with Red Oak on broker-dealer compliance but operates at much greater scale and breadth.
• Proofpoint: Proofpoint is a large cybersecurity and compliance vendor offering information archiving, supervision, and content compliance tools that overlap with Red Oak's social media compliance and supervision modules, though Proofpoint's primary focus is broader enterprise security.
• ACA Compliance Group: ACA Compliance Group provides a combination of regulatory compliance software (e.g., ComplianceAlpha) and consulting services for financial services firms. It competes with Red Oak on compliance management while also offering advisory services that mirror Red Oak's consulting side.

Emerging players

• Hearsay Systems (Yext): Hearsay Systems, now part of Yext, provided advisor social media management and pre-approval compliance tools for financial services. Its pre-approval and archiving workflows overlap with Red Oak's Social Media Compliance module, though it is repositioning within Yext's broader digital presence platform.

Market position

Strengths5 records

Weaknesses5 records

Key risks6 records

Key highlights7 records

Customer concentration

• Xx.com/redoaksoftware
• Facebookfacebook.com/redoakcompliance

Revenue estimate

Valuation estimate

Number of profiles

Profiles12 records

Funding overview

Funding rounds1 record

Investors1 record

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A2 records

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Red Oak Compliance Solutions.