Professional Compliance Assistance, Inc.

7851 Hickory Flat Highway
Suite 200
Woodstock, GA 30188
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Office Hours:
Monday - Thursday
8:30am – 4:30pm
Friday 8:30am – 12:30pm

Today's regulatory environment is more challenging than ever. At Professional Compliance Assistance, Inc. (“PCA”), we work alongside you to develop and help you manage your compliance program.

We believe the relationship between an advisory firm and a consultant should be a partnership. Accordingly, we do not sell any products or programs. The average client of PCA has six to eight employees who manage $1.5 billion or less in client assets. Very few of our clients have a dedicated compliance staff; instead, in most cases a few people are each filling several roles. We work in a hands-on way to assist in all aspects of compliance, including new firm registration, development of proper disclosure language, rules interpretation and application, policy and procedure development, books and records maintenance requirements, and interacting with the SEC and other regulators. PCA also performs annual reviews, risk assessment, mock examinations and employee education sessions for advisory firms when requested.

PCA works with both state and federally registered advisers, with a range of assets under management from $3 million to $8 billion.

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