Investment Adviser Services | Red Oak Compliance Solutions

Investment Adviser

Protect your investment firm by staying in compliance.

Investment Adviser Services Overview

The explosive growth of the investment advisory business over the past several years has created a need for compliance consulting to help investment advisers deal with their ever increasing compliance obligations in this challenging regulatory environment. Red Oak has the industry experience, investment adviser compliance expertise, and knowledge of the regulatory requirements you need in order to fulfill your compliance needs. Red Oak’s services are designed to help advisers understand and streamline their compliance programs.

We don’t sell our clients a product – we deliver solutions.

For new investment adviser applicants, Red Oak offers customized registration services to get your new firm up and running. Our compliance professionals can explain the registration process and requirements, assist in structuring your firm’s investment advisory program, prepare your investment adviser registration, and design your compliance program.

We also provide a full complement of compliance services for existing registered investment advisers. These investment adviser compliance services include a custom on-going compliance programs, or à la carte services as needed. For more information on any of our services, please click on the links below.

Pricing

We strive to be extremely competitive with our pricing. We will provide you a customized quote for our services after an initial analysis has been performed. Please contact us for a proposal tailored to meet the needs of your firm.

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!!