Consulting Services

We help new and existing firms meet all regulatory requirements.

The explosive growth of regulatory enforcement actions over the past several years has created a need for a firm such as Red Oak Compliance Solutions to help deal with the ever-increasing compliance obligations in this challenging regulatory environment. Red Oak has the industry experience, compliance expertise, and knowledge of regulatory requirements to fulfill your compliance needs. Red Oak’s services are designed to help reduce your regulatory risk while enabling you to focus on other priorities.

For new firms, Red Oak offers customized registration services to get your new firm up and running. Our compliance professionals can explain the registration process and requirements, prepare and file your application, and work with regulators until you are approved to conduct business.

Red Oak also provides a full complement of compliance services for existing firms. These services include custom ongoing compliance programs and à la carte services as needed.

Learn more by visiting the pages below:

Learn more about our Compliance Consultants here.

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!!