Basic info
Industry
financial services
software development
Sectors
Regulatory Compliance
Complaints Management
FINRA
Software
fintech
Broker-Dealer
Registration and Licensing Management
SEC
Disclosure Management
Mock Audits
Compliance
Investment Advisor
Regulatory Reporting
Form ADV
Compliance Training
Risk Management
Advertising Review
Compliance Consulting Services
Compliance Workflow Software
RIA Registration
regtech
insurtech
Digital Asset Management
Data Archiving
Suitability Reviews
Compliance Software
Books and Records
Email Review
Configurable Compliance Workflows
Compliance Consulting
Registration Services
Date founded
2010
Funding rounds raised
Total raised
$51M
from 1 investors over 1 rounds
R
Red Oak Compliance Solutions raised $51M on June 29, 2023
Investors: Mainsail Partners