Red Oak
Compliance software and services for RIAs and broker-dealers that shorten review cycles and let advisors use approved content faster
By Red Oak Compliance Solutions · HQ Austin, US · 4.0/5 Value-Position score (estimate)
Positioning guardrails
Best for
- Compliance teams at broker-dealers, RIAs, banks and insurers that need advertising review and books-and-records workflows
- Firms filing with FINRA that want AREF/registration filing automation
- Marketing and compliance teams that need pre-approved, archivable social media and website content
- Organisations that want a highly configurable workflow engine without IT involvement
Ideal size: 20–500 people · Regulated financial firm with a dedicated compliance function and existing marketing content volume
Not for
- Companies outside regulated financial services (the product is purpose-built for securities compliance)
- Very small advisory firms with no dedicated compliance function or budget for a formal review platform
- Teams looking for published, self-serve pricing and instant sign-up
- Buyers who need disclosure of their AI model sourcing and AI audit logs today
Value metrics scorecard
Time-to-Value
~1 month (vendor-led)
~30 days to first production value
Total Cost of Ownership
On request
Custom, quote-based pricing; no list price or seat tiers published on the vendor site
Implementation Friction
2/5
Engineering + admin effort required
Value-Position score
out of 5 · model estimate
Full cost breakdown
Mandatory implementation fee
None
Seat tiers
Not published; pricing is quoted per firm
Add-on costs
- Compliance consulting / professional services to supplement in-house compliance staff (pricing not published)
Company & support
Who is behind Red Oak, and how your team gets help once it is live.
Company
- Founded
- Not recorded
- Headquarters
- Austin, US
How you get support
- PhoneNot listed
- EmailNot listed
- Live chatNot listed
- Support portal / ticketsAll plans
- Community forumNot listed
- Help centre / docsNot listed
- Dedicated account managerNot listed
- In person / on-siteNot listed
- Hours
- 24/7
- Response time
- Under 1 hour average help ticket resolution
Vendor advertises 24/7 support and around-the-clock coverage; the plan tier carrying it is not specified. Published office hours are Monday–Friday 8am–5pm CST. Uptime stated above 99.9%.
“Not listed” means the vendor’s public pages don’t mention that channel, not that it is unavailable. Ask about it during evaluation.
Market position
Where Red Oak sits against its closest alternatives. Pick any two of cost, speed, friction and buyer score, and up to 9 companies to compare.
Quadrant view
Typical annual cost × Time-to-value
The lines cross at the median of the solutions shown, so about half sit on each side of each line.
Companies on the chart 6 / 10
- Red Oak
- Hummingbird
- Abrigo
- Zest AI
- MetricStream
- Flagright
Add or change companies
Up to 10 companies including Red Oak. Listed closest first.
Stack fit signal
Compatibility with standard B2B ecosystems.
No supported MCP path today, so it cannot be driven from an AI client.
AI & MCP readiness
What Red Oak ships in AI, and what it asks of your ecosystem.
AI features shipped
The vendor's AI Review module is described as using large language models and prompt engineering to raise accuracy and speed of advertising review. No source states whether customers supply their own model keys or whether the vendor's model is bundled, and no per-action AI logging or export is documented.
In your ecosystem
- AI connection
- Not supported
- Model key
- Not recorded
- AI usage audit
- Not recorded
Compliance attestations
* IAPP AIGP certifies individuals, not products. It means named staff hold the credential — not that the platform does.
Bottom line
Red Oak is a financial-services compliance platform for broker-dealers, RIAs, banks and insurers, covering advertising review, disclosure management, registration management, social media and internet supervision. It emphasises configurability without IT involvement, FINRA and DAM/reporting APIs, and vendor-run implementation. The vendor reports 1,800+ client firms, 24/7 support with under-one-hour average ticket resolution and 99.9% uptime. Pricing is not published; an LLM-based AI Review module exists but model and audit details are undisclosed.
Frequently asked questions
What does Red Oak actually do?
Red Oak provides compliance software and consulting for financial services firms. Its modules cover advertising review, disclosure management, registration and licensing (with FINRA integration), social media compliance, internet and website supervision, and a distribution platform for approved marketing content. It is aimed at broker-dealers, RIAs, banks and insurers.
How is Red Oak priced?
Red Oak does not publish pricing or seat tiers. Pricing is quoted per firm after a demo, so buyers should expect a custom annual contract. Compliance consulting and professional services are offered alongside the software and may be priced separately.
How long does implementation take?
The vendor markets fast implementation times with services customised to each firm, and positions the workflow engine as configurable by line-of-business administrators without IT involvement. No published implementation timeline or fee is stated on the site, so treat timelines as vendor-specific.
Does Red Oak use AI, and how is it governed?
Red Oak advertises an AI Review module that uses large language models and prompt engineering to improve accuracy and time to market for advertising review. The sources do not state whether customers supply their own model keys or whether the vendor's model is bundled, and no AI action logging or export is documented.
What support is included?
Red Oak states 24/7 support with an average help ticket resolution under one hour, plus 99.9% uptime and continuous releases with zero downtime. Published office hours are Monday to Friday, 8am–5pm CST. Which plan tier includes 24/7 coverage is not specified.
How does Red Oak connect to our existing stack?
Red Oak exposes APIs for submissions, user management, disclosures and embedded annotations, plus FINRA AREF and U4/U5 integrations and feeds into reporting tools such as PowerBI and Tableau. Annotations can be embedded in content tools like Seismic.