Alan Goldberg

Practice Areas

Alan Goldberg’s practice focuses on representing 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 all aspects 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.