Website Disclosure

General

This website is intended for informational purposes only. The information published on this website is subject to change without notice. This website should not be regarded as a complete analysis of the subjects discussed. General information about regulations is often insufficient to resolve regulatory problems. Information on this site should not be relied upon as a substitute for legal, tax or accounting advice by a qualified professional. We recommend that you retain a compliance professional (if you do not select the outsourced CCO solution) and/or attorney to provide you with guidance regarding your firm’s specific situation.

A viewer of this website should be aware that securities regulations for registered investment advisors vary by states and the federal government. The information on this website about is general in nature and not specific to any location.

Information provided on this website is provided “as is” without warranty of any kind, either express or implied, including, without limitation, warranties and merchantability, fitness for a particular purpose, or non-infringement. Red Oak Compliance Solutions assumes no liability or responsibility for any errors or omissions in the content of this website. Under no circumstances and under no legal theory shall Red Oak Compliance Solutions be liable for any damages, whether direct, indirect, incidental, consequential or special arising from an individual’s use of this website.

Viewing or utilizing information on this website, or contacting or responding to our offices or consultants does not create a consulting relationship of any kind. A consulting relationship can be established only after the execution of a written engagement and fee agreement and receipt of any retainer required under such an agreement.

Red Oak Compliance Solutions is not a law firm, attorney, or CPA firm and does not provide legal services or tax advice.

Outside Links

Red Oak Compliance Solutions uses links to other web sites in an effort to assist users in locating information on topics that might be of interest to them. We cannot attest to the accuracy of the information provided on these sites. Red Oak Compliance Solutions has not evaluated or approved of the services found on these links.

No Guarantee

There is no guarantee or promise that registration services or compliance consulting work performed by Red Oak Compliance Solutions will be favorably received by the securities regulators and no specific outcome is guaranteed.

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Testimonials

Red Oak Compliance is quick and attentive to our needs and they have proven themselves to be in command of the nuances of RIA and securities regulation compliance for our fund. It’s the one area of my operation that I outsource and I have complete faith in their abilities.

As a representative with over 25 years of experience in the industry I considered drafting and filing my own registration documents. The smartest decision I made for my new RIA was to outsource that responsibility to Red Oak Compliance Solutions. They got my approval quickly and efficiently—even working after hours—saving me a lot of time which ultimately saved me money. Their work was superior—they didn’t just meet my expectations they exceeded them. I would highly recommend them to anyone who needs their services.

We are very pleased with our decision to use AdMaster. With AdMaster our Compliance team does not need to involve our IT team for tasks such as: creating spreadsheets linking to the bulk export of documents, administration of users, customizing data entry fields and drop down fields. I highly recommend AdMaster given my experience and their high quality of service.

We are very happy with the compliance work Red Oak provides us. We outsource as much as possible to Red Oak to keep us focused on managing money and the business. Always accessible and current of compliance topics an RIA and hedge fund faces on recurring basis.

I love working with your team. They are always so responsive, helpful and insightful and make my experience with AdMaster first class. Please share this email with your organization and others. Thank you.

Red Oak is highly responsive and the level of understanding and interpretation of Sierra’s needs is demonstrated time and time again. The end product, through our collaborative efforts, is always superb. I would recommend Red Oak for all your compliance needs!!