SurgeONE unifies the entire regulatory operation for SEC, FINRA, and state-regulated firms onto one AI-native platform — with licensed experts in the loop and exam-ready evidence built into every workflow.
Every advisor now uses AI. Regulators have moved from "show me your policies" to "show me how your people — and your AI — actually behave." That needs more than another workflow tool.
Start with a single module and expand across the platform. Everything shares the same data, context, and audit trail — no integrations to build, no data to reconcile.
Audits, WSP management, trade oversight, marketing review, and the compliance calendar — with licensed principal sign-off.
Vendor due-diligence, endpoint monitoring, and cyber risk dashboards — inspection-grade evidence, always ready.
110+ adapters feed one compliance data lake, powering reporting, peer benchmarks, and weekly insights.
Monitor, document, and defend how AI is used across your firm — the model regulators now expect.
SurgeONE doesn't run on generic guidance. Its intelligence is grounded in decades of real exam, enforcement, and principal-review experience — so it explains not just what to do, but why it survives an examiner's scrutiny.
That's the line between software that's merely smart and a system a regulator will respect.
SurgeONE was built by bringing specialist compliance, cyber, and data practices into a single company. They're not vendors you get handed off to — they're SurgeONE teams, and their decades of expertise are built directly into the platform.
Our compliance practice — ex-regulators and licensed principals whose exam and enforcement insight powers the Compliance pillar.
Learn more →Our cyber practice — professionals who've secured thousands of endpoints, powering the Cybersecurity pillar.
Learn more →Our data-engineering practice — enterprise-grade integration powering the Data pillar and OmnibusX.
Learn more →Compliance, cyber, data, and AI governance — unified, AI-native, and exam-ready. See it on your firm's terms.
The system of record for AI-era compliance. One platform unifying compliance, cybersecurity, data, and AI governance for SEC, FINRA, and state-regulated firms.