We are the leading fintech platform purpose-built by compliance experts and practitioners to solve the urgent and pervasive problems faced by compliance professionals every day.
Unmatched Configurability
We are the most configurable, books and records compliant workflow engine, allowing our customers to easily and intuitively adapt our software to their use cases.
Industry-Leading Support
We provide the best support in the industry, and our customers validate that through our low churn rate and high NPS score.
“Red Oak has been a great addition to our Compliance toolbox. Red Oak’s greatest strength lies with its support team who is always readily available and consistent in ensuring the application is tailored to our needs. The application has allowed us to increase service levels to our business partners through its customizable, multi-use platform. It has been a pleasure to work with Red Oak.”
-Advertising Compliance Manager, Global Investment Manager
Monitor third-party websites used by your advisors and maintain records for regulatory compliance.
Consulting Services
Need additional compliance help? Our team of compliance consultants provide over 100 years of compliance expertise for RIAs and broker-dealers.
“Since securities compliance is never a joke, we implicitly trust the services of Red Oak. Extremely knowledgeable with great customer service, they’re the only consultant we use to serve us. The systems are great, and the people are too. In this complex world they tell us what to do.“
-Chief Compliance Officer, Broker-Dealer/RIA/Investment Bank
Who Benefits from Our Solutions
Broker-Dealers
Registered Investment Advisors
Banks
Insurance
Other Industries
Register for the 2025 Red Oak User Conference
Join us from April 27th to 30th for our annual Red Oak User Conference in downtown Austin. Hear from industry experts, panels of power users, and the Red Oak team on how to optimize your compliance processes!
How Can We Help You Meet Your Compliance Challenges?
Whether through software or consulting services, Red Oak delivers comprehensive solutions to keep you ahead of regulatory changes, improving efficiency and reducing costs. Discover how we can help you navigate your compliance challenges.