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Red Oak Compliance Solutions

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

Red Oak Compliance Solutions logo

Company info:

Stephen Pope
Top executive: Stephen Pope


1320 Arrow Point Drive

Suite 411

Cedar Park, Texas, United States, 78613

RIA department info:

Cathy Vasilev

Contact: Cathy Vasilev




  • 25 FTEs

  • 0
  • 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 a suite of intelligent compliance technology. We help firms 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 high-touch firm that will understand your business to help you grow compliantly. Click BELOW for recent press releases on Red Oak Compliance Solutions. Red Oak Named to AI FinTech 100 List: Red Oak Recognized for Fifth Consecutive Year on RegTech 100 List: Red Oak Recognized for Fifth Consecutive Year on Inc 5000’s List of Fastest Growing Companies: Red Oak Named to GRC Outlook’s Top 10 RegTech Solution Providers for 2023:

What else would you like to say about your business?

Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes navigate the increasingly complex regulatory landscape. Our solutions offer risk minimization, cost reduction, and process optimization capabilities. Our suite of 17(a)-4/WORM compliant features are designed to evolve in step with the ever-changing regulatory landscape, ensuring that our clients always stay ahead of the curve. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence, Smart Review (SM) solution simplifies the management of disclosures, while our Registration Management solution streamlines and automates the licensing and registration process, further enhancing your internal processes. Join the growing number of firms that rely on Red Oak Compliance Solutions to stay ahead of the regulatory curve and experience the benefits of intelligent compliance software for yourself!


Red Oak Named to AI FinTech 100 List

Red Oak has been recognized as one of the world's most innovative AI technology solution providers.

Red Oak Recognized for Fifth Consecutive Year on RegTech 100 List

Red Oak is highlighted as a technology company transforming the compliance, risk, and cybersecurity landscape.

Red Oak Recognized for Fifth Consecutive Year on Inc 5000’s List of Fastest Growing Companies

Red Oak Compliance Solutions Appears on the Inc. 5000, Ranking No. 3,923 With a Three-Year Revenue Growth of 119 Percent.

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