Red Oak

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.

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

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

• Advertising compliance software
• Financial services compliance
• Regulatory supervision tools
• Advertising review software
• Compliance management platform

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, Marketing or Sales

Revenue model

1. 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.
2. Professional Services: Compliance consulting services and implementation support provided by compliance professionals with over 120 years of combined experience.

Pricing tiers

Go-to-market motion1 record

Distribution channels2 records

Marketing channels6 records

Core 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

Named customers11 records

Segments5 records

Ideal customer profiles4 records

Technology focussed Yes

API detail

Has API

Yes

API docs

API detail

Core technology

AI maturity

App detail

Integration6 records

AI capability7 records

Feature8 records

Partnerships

Two partnerships are on record, tiered core.

• MirrorWebcoreTechnology or Integration · 27 October 2025Strategic 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.
• FINRAcoreTechnology or IntegrationOfficial 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

Direct 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

• LinkedInlinkedin.com/company/redoaksoftware

Compliance5 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles7 records

Subsidiaries2 records

Funding overview

Funding rounds

Investors

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

M&A1 record

Investments

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

Frequently asked questions about Red Oak