Red Oak Compliance Solutions

About Red Oak Compliance Solutions

Red Oak is a leading provider of financial services compliance software and consulting services, purpose-built by compliance experts to solve urgent compliance challenges for over 2,300 financial services firms, RIAs, and broker-dealers. Their mission is to enable these firms to manage compliance and content distribution with confidence and ease, offering configurable solutions and industry-leading support.

Products & Services

Compliance Management Software:Includes tools like Advertising Review, Registration Management, Complaint Management, Social Media Compliance, Disclosure Management, and AI Review to streamline compliance processes.

Supervision Tools:Offers solutions such as Internet Supervision, Collaboration Tools Supervision, Text Message Supervision, Website Monitoring, Affiliate Monitoring, Influencer Monitoring, and Email Supervision Software to reduce supervision risks.

Distribution Platform (4U):Features 4U Connect, 4U Engage, 4U Analytics, and Wealth Manager as Content Provider to enhance compliant content distribution.

Consulting Services:Provides compliance and registration services with over 100 years of expertise for RIAs and broker-dealers.

Specialties

Compliance Software Regulatory Disclosures Advertising Review Social Media Compliance Internet Supervision AI Review Content Distribution Compliance Consulting

Funding History

Debug: View Raw Funding Data

#	Type	Amount Fields	Date Fields	Investors
1	RT: Growth Equity T: - FT: Growth Equity	A: 51000000 MR: - FA: $51 million FAN: 51000000	D: 2023-06-29 FD: 2023-06-29	1 investors

Growth Equity Latest

2023-06-29

$51.0M

1 investor (Pro only)

Growth Metrics

+45%

Employee Growth

YoY

3.2x

Funding Growth

Last Round

12

Markets

Operating

10K+

Customers

Active

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Team & Leadership

C

Cathy Vasilev

Co-Founder

S

Steven Horn

Senior Consultant and Audit Manager

S

Scotty Franks

Senior Consultant

J

Joshua Kelly

Senior Consultant

R

Randy Randall

Senior Consultant

D

David Svrcek

Senior Consultant

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