Alan P. Goldberg

Alan Goldberg


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.

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Bar Admissions
  • Illinois
  • New York
Court Admissions
  • U.S. District Court for the Southern District of New York
  • J.D., Temple University Beasley School of Law
  • B.A., University of Pennsylvania

Speaking Engagements

  • Moderator, “Compliance Testing and Use of Technology,” Investment Adviser Compliance Conference
  • Presenter, Chicago Chief Compliance Officer Roundtable
  • Presenter, “Investment Adviser Developments,” Stradley Ronon’s Investment Management Group Regulatory Update CLE Seminar
  • Presenter, “Investment Company Developments,” Stradley Ronon’s Investment Management Group Regulatory Update CLE Seminar
  • Speaker, “2017 Chicago Compliance Workshop,” Investment Adviser Association
  • Speaker, “Key Issues in Negotiating Vendor Contracts and in Vendor Due Diligence,” 2017 Investment Adviser Compliance Conference
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  • Chambers USA: America's Leading Lawyers for Business, listed for nationwide registered funds
  • The Legal 500 U.S., recommended for mutual/registered funds
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