United Planners Selects SurgeONE.ai to Consolidate Its Regulatory Tech Stack on a Single, Expert-Built AI Platform

Partnership brings compliance automation, cybersecurity, and data integration under one roof all built by former regulatory professionals.

SCOTTSDALE, Ariz. and MENLO PARK, Calif., March 3, 2026 /PRNewswire/ -- United Planners Financial Services, a national independent broker-dealer serving hundreds of financial advisors across the country, today selected SurgeONE.ai to consolidate its compliance, cybersecurity, and data operations onto a single platform replacing a fragmented set of legacy tools with one system built by former regulatory professionals.

"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, United Planners.

"This was a strategic decision about who is capable of building the stack to power the AI Regulatory solutions the industry needs and only Surge has built the platform capable of transitioning our industry forward," said Aaron Spradlin, Chief Technology and Security Officer, United Planners.

The engagement 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.

Key platform capabilities 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
• Expert services including ADV filings, fractional CCO, FinOp, and cybersecurity field inspections

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. Clients benefit from stronger data protection and the assurance that their advisor operates within a well-governed firm.

What distinguishes SurgeONE.ai is not just its technology, it is the expertise embedded in every layer. The team includes former regulatory professionals, broker-dealer CCOs, certified cybersecurity practitioners, and enterprise data engineers who built the platform the way they would have wanted it as practitioners. SurgeONE.ai is not configured for compliance environments, it is built for them.

"AI on its own does not solve regulatory complexity," said Sid Yenamandra, CEO and Founder of SurgeONE.ai. "SurgeONE.ai was built by the people who lived this problem including former regulatory professionals, cybersecurity operators, and compliance practitioners who understand what examiners actually look for. United Planners had the vision to see that, and this partnership is a model for where the industry is headed."

About United Planners Financial Services
United Planners is a national wealth management firm that provides financial planning, investment management, and insurance services. Established in 1987, United Planners is proud of its true independence and its "Adamantly Not For Sale" stance because it is 100% owned by its employees and financial professionals. United Planners provides back-office support to independent financial professionals, who help investors manage their wealth to achieve their financial goals & objectives. United Planners is uniquely structured as a limited partnership that offers ownership opportunities and profit sharing to its employees and financial professionals. We embrace a culture, passion, and strategy that caters to the fiercely independent financial services community. United Planners is an open-architecture model that offers flexible, efficient, and scalable solutions to position its financial professionals to build and manage successful businesses. Learn more about United Planners at www.UnitedPlanners.com or 800-966-8737, Option 3. United Planners is a Registered Investment Advisor with the Securities & Exchange Commission (SEC) / Registered Broker-Dealer with the Financial Industry Regulatory Authority (FINRA) / SIPC Member.

About SurgeONE.ai
SurgeONE.ai is the first expert-led AI platform purpose-built for SEC, FINRA, and state-regulated financial firms. Built by former regulatory professionals, broker-dealer CCOs, cybersecurity practitioners, and enterprise data engineers, the platform unifies compliance automation, cybersecurity, regulatory intelligence, and data operations into a single system. The SurgeONE.ai platform combines RegVerse, Kovair, Security Snapshot, and MGL Consulting.

To schedule a demonstration, visit www.SurgeONE.ai or contact [email protected].

Media Contact
Mitch Manning
Haven Tower Group
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424-317-4858

SOURCE SurgeONE.ai