Alan Goldberg

Practice Areas

Alan Goldberg has been involved in the regulation, and representation, of investment advisers and investment companies for more than 35 years. Formerly at the U.S. Securities and Exchange Commission (SEC) and a large, New York-based Wall Street law firm, Alan is sought after for his deep and well-rounded knowledge of the issues facing registered investment companies and their independent board members, registered investment advisers, sponsors to unregistered investment pools, and family offices.

Alan handles all aspects of creating registered investment companies and registering new investment advisers, including the establishment of compliance policies and procedures. He regularly prepares regulatory filings and applications on behalf of investment companies, including mutual funds, exchange-traded funds, closed-end funds and investment advisers. He has performed numerous comprehensive compliance reviews of investment advisers and investment companies.

Alan also routinely handles the full breadth of investment adviser and fund merger transactions and all aspects of forming unregistered investment funds, including those that rely upon Section 3(c)(11) of the Investment Company Act of 1940.

In addition to spending most of his career at global law firms, Alan previously served as counsel for PwC’s investment management and regulatory consulting services and as an enforcement attorney in the Investment Management Section of the SEC’s New York Regional Office, where he investigated and prosecuted violations of the federal securities laws.