AI platform to consolidate compliance automation, cybersecurity, and data integration
By DWN Staff
United Planners Financial Services of Scottsdale, Arizona, has announced the selection of SurgeONE.ai to consolidate its compliance, cybersecurity, and data operations onto a single platform, replacing a fragmented array of legacy tools with one system built by former regulatory professionals.
“In our evaluation of vendors in this space, we didn’t find anything built the way SurgeONE.ai is built – by people who have actually sat across the table from regulators,” said Dave Hauer, Chief Compliance Officer, United Planners.
According to a statement, what distinguishes SurgeONE.ai is not just its technology but the expertise embedded throughout the platform. The team includes former regulatory professionals, broker-dealer CCOs, certified cybersecurity practitioners, and enterprise data engineers who built the platform the way they would have wanted it as practitioners.
“AI on its own does not solve regulatory complexity,” said Sid Yenamandra, CEO and Founder of SurgeONE.ai. “SurgeONE.ai was built by the people who lived this problem, including former regulatory professionals, cybersecurity operators, and compliance practitioners who understand what examiners actually look for. United Planners had the vision to see that, and this partnership is a model for where the industry is headed.”
SurgeONE.ai includes RegVerse for compliance automation, Kovair for enterprise data integration, Security Snapshot for cybersecurity monitoring, and MGL Consulting for expert regulatory services in a single operating model.
The platform capabilities United Planners will be positioned to leverage include:
- AI-assisted policies and procedures stress-tested against real exam findings
- AI governance and model inventory built for FINRA and SEC AI examination priorities
- Cybersecurity risk management, vendor oversight and incident readiness
- Expert services including ADV filings, fractional CCO, FinOp, and cybersecurity field inspections
With last year’s acquisition of MGL Consulting, SurgeONE.ai deepened its practitioner roots and distanced the firm from legacy providers and new entrants by embedding real human expertise or human-in-the-loop across its technology and service model.
At the time, Yenamandra said that the acquisition “strengthens our ability to support clients with not only smarter workflows and automation, but with the human judgment and trusted relationships that are critical to navigating regulatory complexity.”
By partnering with SurgeONE.ai, United Planners is looking to reduce administrative friction by providing real-time visibility into compliance standing, faster turnaround on reviews and confidence that firm policies are current ahead of any exam, while providing clients with stronger data protection.
Aaron Spradlin, Chief Technology and Security Officer, United Planners, added, “This was a strategic decision about who is capable of building the stack to power the AI Regulatory solutions the industry needs and only Surge has built the platform capable of transitioning our industry forward.”
