Smarsh
Global Relay
NAVEX
OneTrust
Workiva
What is Red Oak?
Founded in 2010 and headquartered in Cedar Park, Texas, Red Oak provides compliance workflows for financial-services firms. Its platform covers advertising, registration, complaint and digital-supervision processes, with the company stating that it serves more than 2,000 firms worldwide.
Red Oak is a cloud-based compliance management platform for financial-services firms. It brings advertising and disclosure reviews, registration workflows, complaint handling, social-media oversight, website monitoring and internet supervision into configurable workflows. Rules, parallel reviews, annotations, notifications and audit trails support the path from submission through approval and recordkeeping. The platform also offers AI Review and integrations for content, reporting and user-management systems. SiteQuest’s acquisition added website-monitoring and internet-supervision capabilities to the broader product.
The product covers a wide operational surface, including advertising review, AI-assisted review, FINRA filing workflows, complaints and distribution engagement. Advertising Review supports unlimited workflows at no extra cost, document stamping and SEC 17(a)-4/WORM books-and-records compliance. Red Oak states that customers can go live in four to eight weeks and reports more than 99.9% uptime, 35% faster approvals and 70% fewer touchpoints. Those performance figures are company claims, not independent benchmarks.
Red Oak is built for asset managers, wealth firms and other regulated financial-services organizations with recurring marketing and registration controls. The company sells the platform through a tailored commercial process rather than public self-service checkout. Current entry pricing and trial terms are not published. Historical materials describe volume-based subscription pricing, but those 2018 documents do not establish current commercial terms.
Key features
Advertising review
Configurable workflows, rules, parallel reviews, annotations, stamping, notifications and audit trails support marketing-material approvals.
Disclosure management
The platform provides centralized workflows for reviewing and managing disclosure-related materials.
Registration management
Registration workflows support FINRA U4 and U5 filing and registration-data processes.
Complaint management
Complaint-management workflows provide a dedicated process for tracking and reviewing complaints.
AI-assisted review
AI Review uses large language models and prompt engineering to assist review accuracy and time to market.
Digital supervision
Internet Supervision, Social Media Compliance and Website Monitoring extend oversight to online activity.
Compliance integrations
Named integrations include AEM, Aprimo, Seismic, Salesforce, Jira, Workfront and Tableau, with APIs for additional content and reporting workflows.
Red Oak pricing
Red Oak does not publish current pricing, per-seat rates or usage thresholds; buyers are directed to request a tailored demo. Historical materials describe volume-based subscription pricing and monthly contracts, but those documents date from 2018 and are not current price commitments.
| Plan | Price | What's included |
|---|---|---|
| Custom | Contact sales | Configured compliance workflows, selected modules, implementation and support |
Free trial: No current free-trial terms are published.
Pros & cons
Pros
- Combines advertising, disclosure, registration, complaint and digital-supervision modules.
- Supports configurable workflows, parallel reviews, annotations, notifications and audit trails.
- Provides FINRA filing integrations and APIs for content, reporting and user-management systems.
- Documents SEC 17(a)-4/WORM support and data-ownership controls for advertising records.
Cons
- Current pricing, trial terms and public package boundaries are not disclosed.
- The platform is specialized for regulated financial services rather than general-purpose compliance.
- AI Review has no published independent accuracy testing in the supplied evidence.
- Uptime and approval-speed figures are vendor claims rather than independent benchmarks.
Who is Red Oak best for?
- Asset managers managing high volumes of advertising and disclosure submissions.
- Wealth-management firms needing centralized marketing review and registration workflows.
- Compliance teams supervising social media, websites and broader internet activity.
- Financial-services organizations requiring configurable workflows and audit trails.
Frameworks and use cases
Integrations
Notable customers
Frequently asked questions
How much does Red Oak cost?
+
Red Oak does not publish a current starting price, seat rate or usage schedule. Buyers are directed to request a tailored demo, while historical 2018 materials describe volume-based subscription pricing and monthly contracts.
How long does Red Oak take to implement?
+
Red Oak states that customers can go live in four to eight weeks. Timing depends on the selected modules, workflow configuration, integrations and data or content processes involved.
How does Red Oak compare with Smarsh?
+
Red Oak combines advertising review with disclosures, registrations, complaints and website or internet supervision. Smarsh is a closer alternative when the primary requirement is communications capture, supervision and archiving across regulated channels.
What integrations does Red Oak support?
+
Named integrations include AEM, Aprimo, Seismic, Salesforce, Treliant, SAP, Synthesis, Jira, Workfront and Tableau. APIs also support Power BI, content and digital-asset systems, HR workflows and FINRA filing processes.
Who is Red Oak for?
+
Red Oak is designed for regulated financial-services organizations, including asset managers and wealth firms. It is relevant where marketing approvals, registration controls and digital supervision need shared workflows and records.
Does Red Oak support security and recordkeeping requirements?
+
Advertising Review includes SEC 17(a)-4/WORM books-and-records compliance, document stamping and audit trails. Red Oak also states that it provides data ownership and more than 99.9% uptime; buyers should validate current controls during due diligence.
Sources
Facts and pricing verified on October 19, 2026. Vendors change pricing often, so confirm with Red Oak before buying. How we research
