United Planners Financial Services said Tuesday that it has selected SurgeONE.ai to consolidate its compliance, cybersecurity and data operations onto a single platform.
"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 of United Planners.
"For United Planners' advisors, the platform reduces 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," the firm said.
The platform unifies four SurgeONE.ai capabilities into a single operating model: RegVerse for compliance automation, Kovair for enterprise data integration, Security Snapshot for cybersecurity monitoring, and MGL Consulting for expert regulatory services.
"Together, they replace the point solutions United Planners previously operated in isolation," United Planners said.
Key platform capabilities, United Planners said, include:
- AI-assisted policies and procedures stress-tested against real exam findings from former regulatory professionals
- AI governance and model inventory built for FINRA and SEC AI examination priorities
- Cybersecurity risk management, vendor oversight and incident readiness
- Services including ADV filings, fractional CCO, FinOp and cybersecurity field inspections.
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