Alan B. Roth

Chicago,  IL  U.S.A.

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AV® Preeminent

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Practice Areas

  • Business Law
  • Business Counseling
  • Small Business Investment Companies
  • Mergers & Acquisitions
  • Private Equity
University Duke University, B.A.
Law SchoolWashington University, J.D.; New York University, LL.M., Tax
Admitted1984, Missouri and Illinois; U.S. District Court, Northern District of Illinois; U.S. Tax Court


Small Business Investor Alliance?
Illinois State Bar Association
American Bar Association - Venture Capital Subcommittee
Chicago Bar Association

BornBrooklyn, New York, September 28, 1957

As a co-chair of Edwards Wildman's nationally recognized Private Equity & Venture Capital practice group, Alan Roth's 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. He has been recognized by Chambers USA as a leader for his work in the area of Corporate/M&A and Private Equity.

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 Small Business Investor Alliance.

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.


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March 2014 Pooling Results in Lower SBIC Debenture Rate
Alan B. Roth,Tamer Tullgren, March 24, 2014
The March 2014 pooling of Small Business Investment Company (“SBIC”) debentures was priced at 3.191%. This most recent semi-annual pricing of SBIC debentures is a reduction from the September 2013 pooling, which was priced at 3.644%.

SBA Issues Proposed Rule Permitting SBICs to Invest in Double Holding Companies
Christopher J. Douglass,Alan B. Roth,Michael R. Wilson, January 3, 2014
On December 23, 2013, the U.S. Small Business Administration (“SBA”) issued a proposed rule to revise the Small Business Investment Company (“SBIC”) regulations regarding investments in passive businesses and the use of double holding companies in structuring SBIC...

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Office Information

Alan B. Roth

225 West Wacker Drive, Suite 3000
ChicagoIL 60606


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