Red Oak Compliance Solutions builds intelligent compliance software used by financial services and insurance firms. Its flagship advertising review software is a highly configurable workflow management system that automates submission, review, approval, and disclosure processes for marketing materials. The company also offers Registration and Licensing Management software and Smart ReviewSM for managing disclosures and representative compliance data. Red Oak serves over 1,800 firms globally, from single-state advisors to more than half of the top 20 asset managers. Clients typically see 35% faster approvals and 70% fewer touches, and the platform is 100% Books and Records/WORM compliant. The company plans to accelerate product development, continue enhancements to its software suite, and expand its customer service model.

Total raised

$51M

Funding rounds

1

Latest round

Equity

Latest activity

Jun 2023