Purpose-Built Compliance for RIAs, Broker-Dealers, and Beyond

Whether you're managing supervision, cybersecurity, or regulatory change, RegVerse adapts to your firm’s structure—delivering AI-powered tools that simplify complexity, reduce risk, and scale with your growth.

How it Works Book a Demo

Avery caters to wealth firms of any size

Wealth Management Firms

Reduce overwhelming compliance duties and focus on asset growth for your clients. We provide full-scope surveillance, allowing you to zero in on better serving your clients.

Broker-Dealers

Navigate the world of FINRA and SEC with confidence. Avery helps you stay prepared for audits and minimize the risk of penalties, enforcement actions and reputational damage.

Registered Investment Advisor (RIA) Firms Wealth Management Firms

Our comprehensive suite of tools enables RIAs to automate compliance & surveillance programs, building and maintaining trust through a foundation based on regulatory compliance.

Fund Managers

Navigate the world of FINRA and SEC with confidence. Avery helps you stay prepared for audits and minimize the risk of penalties, enforcement actions and reputational damage.

Compliance Officers

Stay a step ahead with real-time updates and intelligent workflows. With Avery, compliance becomes an integrated part of your strategic planning.

Decision Makers in Finance

Get a 360-degree view of your firm's compliance landscape. Make informed decisions with insights and analytics provided by Avery.

Asset Managers

Optimize your approach to compliance across your entire organization. With Avery, you're not just managing risks, you're converting your compliance program from a liability to an asset.

How We Help the Teams Who Keep Firms Running

From day-to-day reviews to strategic supervision, RegVerse supports every layer of your compliance operation with intelligence, automation, and visibility.

Use Cases:

For Compliance Leaders
Stay ahead of rule changes, automate WSP updates, and reduce prep time for audits by 70%.
For Supervision & Surveillance
Monitor rep activity in real time, auto-flag red flags, and ensure procedures are followed across branches.
For Cyber & Vendor Oversight
Score vendor risk, monitor devices, and close security gaps—backed by AI and built-in SEC/FINRA alignment.
For RIAs, BDs & Hybrid Firms
Tailor compliance to your structure—whether you're centralizing oversight or scaling supervision across affiliates.

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1300 El Camino Real Suite 100
Menlo Park, CA 94025
+1 650-294-8889
info@surgeventures.com

1. Financial institutions implementing AI technologies observed a 30% surge in operational efficiency - Accenture, 2019. 2. Automated regulatory intelligence tools boosted compliance program efficiency for 84% of users - Thomson Reuters, 2019. 3. Compliance professionals in financial services saved 45% of their time using automated regulatory management tools - Thomson Reuters, 2019. Financial service professionals spend an average of $169,000 per year on managing compliance - Thomson Reuters, 2019.