Red Oak
Red Oak builds a compliance connectivity platform for financial services, unifying advertising review, AI-powered supervision, disclosure management, and content distribution for 2,000+ broker-dealers, RIAs, asset managers, banks, and insurance firms globally.
- Company typePrivate
- Founded2010
- HeadquartersCedar Park, United States
- Headcount51–100
- GTM typeB2B
- OfferingSoftware
What Red Oak does
Red Oak, founded in 2010 and headquartered in Austin, Texas, is a compliance software company that builds a "Compliance Connectivity Platform" for financial services firms. The platform unifies three solution areas — Compliance Management (advertising review, AI review, disclosure management, registration management, complaint management), Supervision & Monitoring (internet supervision, social media compliance, website monitoring and archiving, plus email, text, and collaboration supervision via the MirrorWeb partnership), and Distribution & Engagement (the 4U Platform for content distribution, advisor engagement, and analytics) — into a single configurable workflow engine purpose-built for FINRA, SEC 17(a)-4, and WORM books-and-records requirements.
The technology stack is anchored by a configurable workflow engine, direct FINRA AREF integration for advertising filing and U4/U5 submissions, and an LLM-powered AI Review module launched in January 2025 that applies prompt engineering to advertising text and video to generate explainable compliance determinations. Public APIs (Submission, User Management, FINRA AREF, Disclosure, Embedded Annotations, FINRA) connect the platform to enterprise systems including Salesforce, Seismic, Workfront, Aprimo, SAP, PowerBI, Tableau, and DAM systems. Security and governance posture is unusually rigorous for the size of the firm, with SOC 2 Type II, ISO 27001, ISO 42001 (AI management), SEC 17(a)-4, and DORA attestations in place.
Revenue is generated primarily through annual SaaS subscriptions priced on a quote basis against firm size, user count, and module selection, supplemented by professional services delivered by a consulting bench with 120+ years of combined compliance experience. Go-to-market is enterprise field sales targeting broker-dealers, registered investment advisors, banks, insurance companies, and asset managers, with implementation cycles as short as 4-8 weeks. The company serves 2,000+ firms globally — including 19 of the top 20 US asset managers and 17 of the top 20 global asset managers, with clients collectively managing more than $57 trillion in assets — and is privately held under Mainsail Partners following a late-2023 growth investment.
Red Oak firmographics
Firmographics- Name
- Red Oak
- Legal name
- Red Oak Compliance
- Website
- https://redoak.com
- Company type
- Private
- Founded year
- 2010
- Operating status
- Operating
- Headcount range
- 51–100 employees
- Short description
- Red Oak builds a compliance connectivity platform for financial services, unifying advertising review, AI-powered supervision, disclosure management, and content distribution for 2,000+ broker-dealers, RIAs, asset managers, banks, and insurance firms globally.
- Ownership category
- akta.pro rank
Red Oak industry classification
Industry- Product category
- Financial Services Compliance Software
- NAICS
- Custom Computer Programming Services (541511)
- SIC
- Services-Computer Programming, Data Processing, Etc. (7370)
- akta.pro primary industry
- Compliance, GRC Workflow & Audit Automation Platforms (HDAEAHAL)
- akta.pro secondary industries
- IT Governance, Risk & Compliance (IT GRC) Platforms (HDAEALAK), Audit Management, Controls & SOX Compliance (BPAEAPAH)
Keywords
Where Red Oak is headquartered
LocationHeadquarters
- HQ city
- Cedar Park
- HQ country
- United States
- HQ region
- North America
Offices1 record
Markets served
Red Oak business model
Business model- GTM type
- B2B
- Offering type
- Software
- Cost components
- Personnel, Technology or R&D, Marketing or Sales
Revenue model
- Software Subscription: SaaS-based compliance software platform delivered as subscription service. Platform unifies advertising review, supervision, and content distribution in one integrated environment with tiered pricing based on firm size and modules selected.
- Professional Services: Compliance consulting services and implementation support provided by compliance professionals with over 120 years of combined experience.
Pricing tiers
| Model | Billing | Price |
|---|---|---|
| Subscription | Annual | Enterprise subscription with comprehensive compliance platform access |
Go-to-market motion1 record
Distribution channels2 records
Marketing channels6 records
Red Oak product offering
Product offeringCore offering
Red Oak develops a SaaS-based Compliance Connectivity Platform for financial services firms that unifies advertising review, supervision monitoring, disclosure management, registration management, complaint management, and content distribution in a single integrated environment. The platform leverages a Compliance-Grade AI engine with Large Language Models and a configurable workflow engine to streamline FINRA and SEC advertising rule compliance, supervision of registered representatives' digital presence, and compliant content distribution to advisors.
Product overview
Red Oak is a Compliance Connectivity Platform for the financial services industry that connects every stage of content creation, review, distribution, and supervision in one integrated environment. The platform is built around three core solution areas: (1) Compliance Management encompassing Advertising Review, AI Review, Disclosure Management, Disclosure Intelligence, Registration Management, and Complaint Management modules; (2) Distribution & Engagement featuring the 4U Platform (4U Connect, 4U Engage, 4U Analytics) plus Wealth Manager as Content Provider for advisor enablement and compliant content distribution; and (3) Supervision & Monitoring covering Internet Supervision, Social Media Compliance, Website Monitoring & Archiving, Email Supervision, Text Message Supervision, Collaboration Tools Supervision, Affiliate Monitoring, and Influencer Monitoring. The platform serves broker-dealers, RIAs, banks, and insurance companies with over 2,000 firms worldwide, including 19 of the top 20 US asset managers and 17 of the top 20 global asset managers.
Differentiator
Problem solved
Functional benefit
Products and services
- Advertising Review Workflow-based advertising and marketing review software that streamlines compliance approvals with configurable workflows, parallel reviews, document and video annotations, and full audit trails for FINRA 2210 and SEC advertising rule compliance.
- AI Review LLM-powered advertising review assistant using sophisticated prompt engineering to increase accuracy and improve time to market, providing AI-driven compliance determinations with explainable outputs that meet regulatory expectations.
- Disclosure Management Centralized regulatory disclosure library creating a gold source of approved content with automated version control, audit trails, and real-time API access, supporting multiple languages and complex disclosures including variable text and nested disclosures.
- Registration Management Centralized licensing and registration management system with FINRA integration for U4/U5 filings, deadline tracking, continuing education monitoring, multi-broker-dealer support, one-click data migration, and custom reporting.
- Complaint Management Complaint tracking system that captures, tracks, and resolves complaints with transparency and audit-ready documentation for regulatory compliance.
- Internet Supervision Automated monitoring of registered representatives' online presence across social media, websites, and directories with configurable search rules, review-once workflows, and Secretary of State searches across all 50 states.
- Social Media Compliance Social media monitoring, pre-approval, and archiving for registered representatives with user console for account registration and content submission, and admin console for compliance team supervision and policy configuration.
- Website Monitoring and Archiving Automated website change detection and archiving for representatives' websites, YouTube channels, and Google My Business reviews with highlighted changes, bundled content review, and integrated compliance workflows.
- Email Supervision Automated capture and review of email communications for complete audit readiness and regulatory compliance, powered by the MirrorWeb partnership.
- Text Message Supervision SMS and chat communication capture and monitoring across approved devices for regulatory compliance supervision.
- Collaboration Tools Supervision Compliance supervision extension for Microsoft Teams, Slack, and other internal communication platforms, powered by the MirrorWeb partnership.
- Affiliate Monitoring Partner and affiliate web content tracking for brand consistency and disclosure compliance in marketing relationships.
- Influencer Monitoring Third-party influencer content supervision to ensure brand alignment and regulatory compliance in influencer marketing campaigns.
- 4U Connect Content distribution engine delivering compliant marketing materials directly to advisors and partners, ensuring the right content reaches the right audience.
- 4U Engage Advisor engagement platform enabling personalized content sharing across email and social channels with role-based access control and campaign management.
- 4U Analytics Content engagement analytics tracking usage, performance, and metrics to understand how advisors and clients interact with distributed content.
Quantifiable outcome
- 35% faster approvals with 70% fewer touchpoints
- +6 more outcomes
Companies that use Red Oak
Customer profileNamed customers11 records
Segments5 records
Ideal customer profiles4 records
Red Oak technology and API
TechnologyTechnology focussed Yes
API detail
- Has API
- Yes
- API docs
- API detail
Core technology
AI maturity
App detail
Integration6 records
AI capability7 records
Feature8 records
Red Oak partnerships and signals
Strategic signalPartnerships
Two partnerships are on record, tiered core.
- MirrorWebcoreStrategic partnership bringing together Red Oak's compliance connectivity platform with MirrorWeb's compliance surveillance and archiving technology. The partnership enables comprehensive supervision across all modern communication channels including email, text messages, and collaboration tools. Powered by MirrorWeb's archiving capabilities for FINRA and SEC retention requirements.
- FINRAcoreOfficial regulatory integration partnership for AREF (Advertising Regulation Electronic Filing), direct API filing, U4/U5 filings, and registration data retrieval. Reduces compliance bottlenecks and saves up to 30 minutes per filing.
Scale indicators12 records
Recent moves7 records
Expansion highlights6 records
Red Oak competitors and assessment
Company assessmentDirect peers
- ArchiveSocial: ArchiveSocial provides social media archiving and compliance solutions for regulated industries including financial services. Directly competes with Red Oak's social media compliance and website monitoring capabilities, serving similar customers with FINRA/SEC-compliant archiving.
- Hearsay Systems: Hearsay Systems provides social media compliance and advisor marketing solutions specifically for financial services. Directly competes with Red Oak's Social Media Compliance and Internet Supervision modules, serving broker-dealers and RIAs with similar pre-approval and archiving workflows.
- Mitratech: Mitratech offers GRC, legal, and compliance solutions including advertising compliance review for financial services. Directly competes with Red Oak's compliance management platform, serving similar enterprise customers with comparable advertising review and regulatory filing capabilities.
- RegEd: RegEd provides compliance education, licensing, and registration management solutions for financial services firms. Directly competes with Red Oak's Registration Management module and serves similar broker-dealer and RIA customers with overlapping compliance training and filing capabilities.
- Smarsh: Smarsh provides communications compliance, archiving, and supervision solutions for financial services firms. Directly competes with Red Oak in social media compliance, email supervision, and content archiving, serving similar broker-dealer and RIA customers with overlapping product capabilities.
- Global Relay: Global Relay provides communications archiving, supervision, and compliance solutions for regulated industries. Directly competes with Red Oak's supervision and monitoring capabilities, particularly in email/text/collaboration tool archiving for FINRA and SEC compliance.
Emerging players
- Ascent Technologies: Ascent provides AI-powered regulatory compliance solutions for financial services firms. Emerging competitor with partial overlap to Red Oak's AI Review capabilities, focusing on automated compliance analysis and regulatory intelligence for similar broker-dealer and RIA customers.
Broad incumbents
- Wolters Kluwer: Wolters Kluwer provides regulatory compliance, risk management, and legal solutions for financial services through its OneSumX and Compliance Risk Solutions platforms. Competes with Red Oak in compliance management but as part of a much larger professional information services portfolio.
- Proofpoint: Proofpoint is a large cybersecurity and compliance company offering email security, archiving, and supervision solutions. Competes with Red Oak in communications compliance and archiving but as part of a broader cybersecurity portfolio serving enterprise customers across multiple industries.
- NICE Actimize: NICE Actimize provides financial crime, risk, and compliance solutions for financial institutions. Competes with Red Oak in compliance monitoring and supervision but focuses on anti-money laundering, trade surveillance, and broader enterprise risk management.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat6 records
Key risks6 records
Key highlights7 records
Customer concentration
Red Oak social profiles
Digital presenceRed Oak compliance and trust
Trust signalCompliance5 records
Red Oak financial estimates
Financial estimateRevenue estimate
Valuation estimate
Red Oak leadership team
Management profileNumber of profiles
Profiles7 records
Red Oak subsidiaries and ownership
Company hierarchySubsidiaries2 records
Red Oak funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
Red Oak M&A and investment
M&A and investmentM&A1 record
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about Red Oak
What does Red Oak do?
Red Oak develops a SaaS-based Compliance Connectivity Platform for financial services firms that unifies advertising review, supervision monitoring, disclosure management, registration management, complaint management, and content distribution in a single integrated environment. The platform leverages a Compliance-Grade AI engine with Large Language Models and a configurable workflow engine to streamline FINRA and SEC advertising rule compliance, supervision of registered representatives' digital presence, and compliant content distribution to advisors.
Is Red Oak a public or private company?
Red Oak is a private company. It is classified as private equity controlled and is currently operating.
When was Red Oak founded?
Red Oak was founded in 2010. It employs 51 to 100 people.
Where is Red Oak based?
Red Oak is headquartered in Cedar Park, United States, in the North America region.
How does Red Oak make money?
Two revenue lines are on record. Software Subscription is the primary driver. The others are professional Services.
Who are Red Oak's main competitors?
Direct peers on record are ArchiveSocial, Hearsay Systems, Mitratech, RegEd, Smarsh and Global Relay. Ascent Technologies is listed as an emerging player. Broad incumbents are Wolters Kluwer, Proofpoint and NICE Actimize.
Does Red Oak have an API?
Yes. Red Oak offers multiple public APIs for integration with enterprise systems: (1) Submission API - connects content creation systems, automates publishing and retirement of materials in DAMs, and feeds data into enterprise reporting tools like PowerBI and Tableau; (2) User Management API - manages user activation/deactivation, group memberships, and visibility settings with HR system integration; (3) FINRA AREF Integration - enables direct filing with FINRA, retrieves and stores comment letters, and builds audit trails, saving up to 30 minutes per filing; (4) Disclosure API - provides real-time access to the latest approved disclosures with metadata for integration with content creation tools; (5) Embedded Annotations API - streamlines reviewer feedback with embedded annotations directly in content creation tools like Seismic (requires Enhanced Review and Submission API); (6) FINRA API - streamlines U4/U5 filings with FINRA for cohesive compliance solution. Developer documentation is at www.redoak.com/integrations.
What industry is Red Oak in?
Red Oak's product category is Financial Services Compliance Software. Its primary akta.pro industry code is HDAEAHAL, Compliance, GRC Workflow & Audit Automation Platforms, with a secondary code of HDAEALAK, IT Governance, Risk & Compliance (IT GRC) Platforms. Its NAICS code is 541511 and its SIC code is 7370.