Cybersecurity compliance software for RIAs and broker-dealers. Centralize third-party risk and cyber posture across the firm: score vendors in minutes, monitor endpoints continuously and keep inspection-grade evidence ready, backed by professionals who have secured endpoints.
Score third-party vendor risk from SOC 2 reports and monitor endpoint posture firm-wide, inspection-ready at any moment.
Buy any module on its own or run the whole pillar. Vendor, endpoint and firm-level risk share one data fabric and one audit trail.
Prefill and score vendors automatically from SOC 2 reports, breach history and public sources. A unified third-party risk register replaces the questionnaire-and-spreadsheet grind with one defensible vendor risk assessment.
Who it's for: RIAs and broker-dealers managing vendor and third-party cyber risk under Reg S-P and SEC expectations.
Monitor endpoint security posture across Windows, macOS and browsers. A baseline period establishes what "normal" looks like before any enforcement, so alerts are signal, not noise.
Who it's for: RIAs and broker-dealers that need continuous endpoint security evidence for SEC and FINRA exams.
Score your firm's cyber risk, benchmark it against peers and surface the gaps that matter most, with inspection-ready evidence behind every number.
Who it's for: CISOs and CCOs reporting cyber posture to leadership and examiners.
Walk through the modules that fit — no bundle required.
The regulatory record for financial services. One platform unifying compliance, cybersecurity, data, and AI governance for regulated financial firms.
![SurgeONE SOC 2 [Type II] report, AICPA](https://cdn.prod.website-files.com/67f63b13deda8292f01f2b7a/680b67fb8c5b79c60a4f7d6d_SOC_CPA_Blue-txt.webp)
