For small and mid-sized Registered Investment Advisors (RIAs), compliance is a high-stakes challenge with limited in-house resources. More than a vendor, you need a partner that combines smart technology with experienced professionals. That’s where SurgeONE comes in.
This guide outlines what to look for in a compliance partner, and how SurgeONE checks those boxes through a thoughtful blend of AI automation, integrated services, and deep regulatory experience.
SurgeONE combines leading-edge technology with decades of practitioner-led service. Through its acquisition of MGL Consulting and integration of former regulators, SurgeONE brings deep institutional knowledge of SEC, FINRA, and state requirements.
Its platform is tailored for RIAs, with native support for Form ADV workflows, marketing compliance, insider risk, and more.
Why it matters: You get a partner who understands your regulatory world and how to stay ahead of it.
Unlike point solutions or generic platforms, SurgeONE offers an end-to-end solution. That includes:
You get one platform and team that covers the entire compliance lifecycle.
Why it matters: No more stitching together vendors. Everything you need in one place.
SurgeONE reduces manual work through automation. From policy attestations to risk alerts, tasks are handled in the background with minimal input required. The platform integrates with your core tools and keeps a real-time system of record for audits.
Why it matters: Less burden on your team, more confidence in your controls.
The SurgeONE dashboard provides live visibility into your risk posture, mapped to regulatory obligations. Reports are designed for both day-to-day operations and board-level oversight.
Why it matters: Know exactly where you stand and be ready when the SEC calls.
SurgeONE uses AI to score and surface the areas of highest concern, vendor risk, marketing materials, and cybersecurity gaps. You don’t have to dig through data to find issues; the system brings them to you.
Why it matters: Focus your limited resources on what matters most.
Built for lean teams, SurgeONE is intuitive and customizable without developer support. Need a new control, reminder, or field? You can make it yourself. And if not, the team is there to help.
Why it matters: Tech you can actually use and benefit from.
SurgeONE is built with financial data sensitivity in mind. Its architecture supports growth, whether you're expanding services, launching new products, or responding to new rules like the SEC's cybersecurity proposal.
Why it matters: A solution that grows with you, not one you’ll outgrow.
What sets SurgeONE apart is its human layer. You get access to real experts who know how to guide your compliance program. Whether it's preparing for an exam or remediating gaps, you're not doing it alone.
Why it matters: Peace of mind that someone has your back.
Compliance is getting more complex, but your approach doesn’t have to. SurgeONE is built to simplify, streamline, and support your compliance program from all angles, people, processes, and platform.
If you're evaluating partners, SurgeONE offers a rare combination: trusted experts and a powerful system working in sync.
Ready to make compliance easier? SurgeONE is built for that.