Surge Ventures on Tuesday unveiled SurgeONE.ai, an AI-native platform that the Menlo Park, California, fintech venture studio said combines compliance, cybersecurity and data infrastructure into one unified system for broker-dealers, RIAs and other regulated financial firms.
The SurgeONE.ai platform brings the capabilities of Surge portfolio companies RegVerse, Kovair and Security Snapshot into one modular, scalable system.
The platform is live and available to customers now, according to Sid Yenamandra, Founder and CEO of Surge Ventures, and also CEO of SurgeONE.ai.
“We’ve onboarded approximately 200 clients across compliance, cybersecurity, and data integration,” he told WSR. “Feedback so far has highlighted the platform’s usability, speed of implementation, and the value of combining expert services with automation,” he noted.
“The number of regulatory events and enforcement actions continues to rise, yet many firms struggle to keep up using outdated or fragmented systems,” he said.
“The number of regulatory events and enforcement actions continues to rise, yet many firms struggle to keep up using outdated or fragmented systems.”
– Sid Yenamandra
Capabilities
For compliance, the platform offers “AI-guided policy surveillance, WSP [written supervisory procedure] gap testing, attestation workflows, trade oversight and marketing review — with embedded expert support for regulatory registration, audit readiness and ongoing program management,” according to the company.
For cybersecurity, the platform provides “real-time visibility across rep devices, vendors and networks, with risk scoring and compliance reporting aligned to SEC cybersecurity and ADV Part C requirements,” the firm said.
And for data infrastructure, SurgeONE.ai provides “seamless integration across core WealthTech systems, automated data hygiene and a centralized AI-ready lakehouse for reporting, analytics and regulatory response,” according to the firm.
Current Solutions
“Current solutions typically fall into three camps,” according to Yenamandra. First are legacy tech vendors that offer “expensive, poorly supported compliance platforms — now hastily layering AI features without being truly AI-native,” he said.
Second are consulting or service-led firms that he said “lack strong tech capabilities in compliance, cybersecurity, or data infrastructure [and are] focused more on billable hours than innovation.”
And third are AI-first startups that he said tend to have “limited regulatory or domain expertise, often lacking depth” when it comes to compliance services, cybersecurity and data integration.
“This shift began accelerating over the past several years, driven by three main forces: increasing regulatory complexity, a lack of innovation from legacy players, and growing demand from firms to operate more efficiently by leveraging AI and automation,” he told WSR.
AI-Native
However, SurgeONE.ai was “built from the ground up to be AI-native — not just AI-enhanced,” he explained. “Our architecture integrates AI across regulatory intelligence, policy automation, audit and attestation workflows, code of ethics tracking, marketing and e-comms review, and cybersecurity oversight. Importantly, we prioritize AI explainability, comprehensive audit trails, and practitioner-designed workflows — combining 100+ years of real-world compliance and cybersecurity experience with modern AI infrastructure.”
“This isn’t a rebrand or another AI wrapper.”
– Sid Yenamandra
SurgeONE.ai’s design enables financial firms to “shift from reactive compliance to proactive, intelligence-led risk management,” according to Yenamandra. His firm’s services and AI tools “help reduce audit preparation time, anticipate regulatory changes, and minimize the risk of violations — all while boosting operational efficiency,” he added.
“This isn’t a rebrand or another AI wrapper,” he said in a press release. “It’s a new architecture, built by practitioners who’ve lived compliance and cyber from the inside, that will give firms clarity, agility and control in a time of mounting oversight.”
Jeff Berman, Contributing Editor and Reporter at Wealth Solutions Report, can be reached at jeff.berman@wealthsolutionsreport.com.
