Alan B. Roth

Alan Roth is a partner and a Co-Chair of the Business Transactions Department at Wildman Harrold. His practice is focused primarily in the areas of venture capital and private equity representation, including SBIC licensing, investment and compliance, fund formation, corporate acquisitions, and representation of closely-held corporations and individuals.

Alan has built a strong reputation in the venture capital and private equity community. He leads one of the most active SBIC practices in the country and his specialized knowledge of the SBIC program provides clients with an additional investing edge. Alan regularly counsels venture capitalists and private equity professionals on fund formation including becoming licensed as small business investment companies, encompassing both the pre-licensing and post-licensing stages of the process. He works closely with the Small Business Administration and the National Association of Small Business Investment Companies.

His background in tax renders him uniquely qualified to provide private equity and venture capital funds with innovative solutions in forming their investment companies, structuring investments in portfolio companies, and assisting in ongoing reporting and compliance obligations. Alan possesses significant experience in the areas of real estate, federal and state income taxation, state and local taxation, banking, secured lending, corporate acquisitions, and representation of closely held corporations and individuals.

Publications And Presentations:

Speaker, "Raising Capital to Build Your Business in a Tough Economy," Club Industry Conference and Exposition for Health & Fitness Facility Management, Chicago, October 2009.
Co-Author, "Website Spoofing: A New Threat For Financial Services Firms," Wildman Harrold Client Bulletin, October 2009.
Author, "Small Is Beautiful, The Expanding SBIC Program: An Untapped Resource for Private Equity Funds," The Deal, July, 2009.
Speaker, "SBICs In Today's Market: What's In It For You" Seminar, Chicago, May 2009, New York and Orange County, June 2009.
Moderator, "SBICs: The Future of Mezzanine Funding," Atlantic Conferences, Symposium on Mezzanine and Middle Market Finance, New York, April 2009.
Co-Author, "SBA Introduces a New Procedure to Expedite the Approval of Transfers of Limited Partnership Interests," Wildman Harrold Client Bulletin, February 2009.
Speaker and Program Chair, "The SBIC Program," and "Private Equity Firms as Sellers," Private Equity and Mezzanine Finance Conference, CLE International, Chicago, June 2008
Author, "Private Equity Alert: Tax Change For Private Equity Funds Introduced in U.S. Senate," Wildman Harrold Client Bulletin, June 2007.
Author, " Private Equity Alert: Second Shoe Drops on Private Equity," Wildman Harrold Client Bulletin, June 2007
Author, "Private Equity Alert: SBIC Licensees Required to Recertify Institutional Investor Status," Wildman Harrold Client Bulletin, June 2007.
Author, "Private Equity Alert: Proposed Changes in the Tax Treatment of Carried Interest, Wildman Harrold Client Bulletin, April 2007.
Co-Author, "Private Equity Alert: Private Equity Industry Guidelines Group (PEIGG) Revised Valuation Guidelines, Wildman Harrold, April 2007.
Co-Author, "Private Equity Alert: Comment Period Closes On SEC Proposed Revisions to Accredited Investor Standard, Wildman Harrold Client Bulletin, March 2007.

Professional Associations:

National Association of Small Business Investment Companies

Illinois State Bar Association

American Bar Association – Venture Capital Subcommittee

Chicago Bar Association

Bar Admissions:

Illinois, 1984

Missouri, 1984

U.S. District Court for the Northern District of Illinois

U.S. Tax Court

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