The explosive growth of the investment advisory business over the past several years has created a need for a firm such as Red Oak Compliance Solutions to help investment advisors 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 Oakís services are designed to help advisers understand and streamline their compliance programs.
For new investment advisor 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 firmís investment advisory program, prepare your investment advisor registration, and even act as your Chief Compliance Officer.
We also provide a full complement of compliance services for existing registered investment advisors. These investment advisor compliance services include our most comprehensive CCO outsourcing solution; custom on-going compliance programs; or purchasing ala carte services as needed. For more information on any of our services, please click on the links below.
We strive to be extremely competitive with our pricing. We will provide you a fixed 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.
We offer compliance
solutions that enable
your business to grow
and become more