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Red Oak Compliance Solutions

Filed under: Compliance Expert, Regulatory Consultant, Tech: Other

Company info:

RIA department info:


  • 15 FTEs
  • Founded in 2010


What is the service or product you offer to RIAs?

New RIA Registration Services: Register all Investment Advisory Representatives through IARD Filings State Filings SEC Filings Termination Filings Disclosure of Regulatory or Civil Actions Schedule 13G, 13D, 13F Filings Solicitor Registration Form ADV Part I and 2 review and revisions Initial, Quarterly, and Annual Amendments ADV Filings and Update Amendments Annual Renewals U-10 Filing for Exams Form PF Branch Office Filings Ongoing Compliance Offerings: Annual 206(4)-7 Risk Assessment and Compliance Review Form ADV Review and Revisions and Filings Compliance Manual Creation/Customization/Review (Policies and Procedures) Investment Advisory Agreements Creation and Review Solicitor Arrangements Creation and Review Privacy Policy Creation and Review On-site Compliance Assessment Anti-Money Laundering Assessment/Implementation/ Audits Mock SEC and State Exams Advertising and Correspondence Review Best Execution Verification Outside Business Activity Review Personal Securities Transaction Review Account Analysis and Exception Reporting E-Mail Monitoring Social Networking Compliance Review Solicitor Review and Supervision Fee Calculation Analysis and Billing Monitoring Training and Skills Transfer

How do you differentiate your offering from competitors?

Expert compliance consulting plus intuitive technology. We help advisers, investment companies, and hedge funds meet regulatory requirements and increase ROI. Bottom line- we have deep experience on both sides of the business, and we use it to find a solution that best fits your needs. We work with you as your Risk Management Partner to help you understand the regulatory and business risks so you can make the decisions that are right for your firm. We are a touch firm that will understand your business to help you grow compliantly.

What else would you like to say about your business?

Red Oak Compliance Solutions provides both advertising review software and compliance support for financial firms, both small and large. Our compliance support model helps augment existing compliance teams with skilled resources for tasks such as registration and advertising review, through to complete custom compliance programs. Our software is the adverting compliance review software of choice in the financial services industry. It is quick and easy to implement and 100% books and records compliant. Our clients typically see 35% faster approvals and 70% fewer touches or better.

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