Saved per vendor review
Centralized compliance, cyber
and data management
Scalable architecture for future
AI - driven oversight
"Putting all of our cyber, compliance, and data management in one place will provide us the visibility to have readiness in audits and create efficiencies and scalability while having cost reductions in these multiple areas of our industry."
— Brian Kobel, Product Support Specialist
United Planners is a broker-dealer serving the financial sector with over 1,200 financial professionals. The firm operates in a highly regulated environment that demands strong compliance and cyber oversight.
Legacy systems struggled to support critical endpoint cyber audits. Tools like RegEd made compliance audits increasingly cumbersome. Vendor management platforms were overpriced and failed to integrate cleanly with cyber and data processes.
A major market player, Smarsh, created a near-monopoly for cyber-compliance integration, forcing firms like United Planners into rigid workflows and limiting innovation.
United Planners needed to regain control of its tech stack without relying on inflexible, costly platforms. They sought a scalable solution to unify cyber auditing, vendor oversight, and data hygiene, while preserving regulatory readiness.
To modernize their infrastructure, United Planners deployed:
The open architecture allowed for flexible vendor review workflows while maintaining strict compliance standards. Automated checkpoints eliminated redundant manual reviews and saved significant analyst time.
"The process has been met with quality support by the Surge Team… they don’t quit and charge us when these things happen, like most companies in their space would. It creates a partnership that can be trusted."
The deployment began with a 9-month rollout and continues to evolve, with plans to integrate compliance oversight and AI modules from SurgeONE.
United Planners now completes vendor due diligence with 2–3 fewer hours per review. While broader performance data is still being collected, the impact on time savings and internal alignment is already noticeable.
The consolidation of cyber, compliance, and data management into one trusted platform is laying the groundwork for long-term audit readiness, cost reduction, and scalability.
Join firms like United Planners who trust SurgeONE to unify cyber, compliance, and data operations—without vendor lock-in or bloated costs.
→ Book a demo or contact our team today