Testimonials
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!!
-Vice President/Principal, Investment Advisory Firm
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.
-President and CIO, Asset Management Firm
Our firm has highly valued Red Oak’s guidance on compliance issues for our Broker-Dealer and Registered Investment Advisor businesses for years.
-Matthew dorn, President/Financial Advisor, Dorn & Co., Inc. Wealth Management
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
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
Red Oak has proven to be one of our most successful vendor relationships. The platform and technology are great and best of all when an issue or question arises, we get prompt personal support.
-Stephen D. Tally, Chief Operating Officer, Leo Wealth
Internet Supervision has allowed our compliance department to comply with our supervision requirements mandated by the CFTC and NFA. Our review and monitoring process was very manual and time consuming; however, with this system we have been able to do this in a fraction of the time. As soon as we implemented [Internet Supervision], the system found searches that were previously missed with the manual process and as a result we updated our policy and procedures to minimize compliance risk. Also, one of our previous hurdles was demonstrating to our regulators with documentation that we were conducting the appropriate monitoring but with the audits reports, that are available directly from the system, we are able to document and show individual findings in an organized manner.
-Compliance Professional Supervising in the Foreign Exchange Markets
We needed to come up with a better way to review our advisors' activity on the web because we weren't confident our manual internet searches were identifying everything we needed to supervise. After looking at other solutions, we selected Red Oak and their Internet Supervision product. Red Oak was very accommodating, working closely with us to meet our company's specific needs. We have found our internet searches to be much more robust now. Red Oak continues to be a great partner and is very customer focused!
-Large Global Retirement Solutions and Insurance Company
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.
-Chief Compliance Officer, Investment Management Firm
I love working with your team. They are always so responsive, helpful and insightful and make my experience with Advertising Review first class. Please share this email with your organization and others. Thank you.
-Chief Compliance Officer, Global Insurance Marketing Organization
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.
-Compliance, Private Lender
The automation of Website Monitoring is very simple. This program has different user view options to make the review process customizable. As we were implementing Website Monitoring the Red Oak team thoroughly trained us on how to use this program. They provided several tips that makes my job that much easier.
-Broker Dealer in the Midwest
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