ROTH Capital Partners LLC

ROTH Capital Partners LLC

ROTH Capital Partners LLC

Date Founded



888 San Clemente Drive,Suite 400,Newport Beach, CA 92660-6369

Type of Company


Employees (Worldwide)



Investment Banking & Brokerage

Company Description

Founded in 1984, ROTH Capital Partners LLC is a full service investment banking firm and broker/dealer headquartered in Newport Beach, California. The firm is a subsidiary of CR Financial Holdings, Inc. ROTH Capital focuses on the small and micro-cap markets. The firm's services include raising capital, research coverage, creating liquidity, trading and market making, merger and acquisition advisory services, sales support and investor conferences. ROTH Capital is a leading placement agent for a number of PIPE transactions.ROTH's research covers emerging growth equities in the business services, consumer, electronics, global energy/industrials, gaming, healthcare, media, retail and software sectors. The firm focuses on companies with market-caps of $100 million to $1 billion. Their coverage universe includes approximately 200 small-cap growth companies around the globe including over 50 companies located in China. The companies they follow have an average market-cap of about $290 million. ROTH seeks to identify rapidly growing companies with significant long-term growth prospects.

Contact Data
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Executives & Employees

Chairman & Chief Executive Officer

Chief Operating Officer & Chief Financial Officer

Managing Director & Head of Equity Capital Markets

President & Head of Investment Banking

Director of Research & Senior Research Analyst

Director of Trading

Director of Corporate & Executive Services

Director of Marketing & Corporate Access

General Counsel

Chief Compliance Officer

Board of Directors

Founding Member at University of San Diego

Director & Research Analyst at ROTH Capital Partners LLC

Director & Research Analyst at ROTH Capital Partners LLC

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Recent Transactions
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Smith Micro Software Inc. purchases Avast Plc /Family Safety Mobile Bus from Avast Plc

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Roth CH Acquisition III Co. issued USD Units Consisting of Common Stock and Warrants

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Tengasco, Inc. purchases Riley Exploration - Permian LLC

Transaction Clients

Advised on Delcath Systems, Inc. issued . USD Common Stock


Advised on Galena Biopharma, Inc. issued USD Units


Advised on Plug Power, Inc. issued USD Common Stock

Transaction Advisors
Legal Advisor

Advised onPlug Power, Inc. issued USD Common Stock

Legal Advisor

Advised onMedallia Inc. issued USD Common Stock

Legal Advisor

Advised onGenfit SA issued USD American Depositary Shares

Legal Advisor

Advised onLannett Co., Inc. issued USD Common Stock

Legal Advisor

Advised onArcturus Therapeutics Holdings, Inc. issued USD Common Stock

Legal Advisor

Advised onIntec Pharma Ltd. issued USD Ordinary Shares

Advisors & Consultants

Part of Bank of America Corp., Merrill Lynch, Pierce, Fenner & Smith, Inc. (San Francisco) is an American company. The firm provides brokerage and investment banking services.

Legal Advisor

Co-Managing Partner at DLA Piper

Legal Advisor

Member (Attorney) at Dickinson Wright PLLC


General Electric Pension Trust is a corporate fund investor in the United States. GE Pension Trust operates as a subsidiary of GE Asset Management Incorporated.

Non-Profit Donations & Grants
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SOASTA, Inc. provides test automation solutions for web applications and services. The firm’s products include mPulse, CloudTest, TouchTest, DOC and Pricing. Its solutions include web performance testing, real user monitoring, mobile performance testing and mobile test automation. The company was founded by Kenneth C. Gardner, Lisa Bergamo, Mike Hemmert, Craig Powers, Kenneth Holcomb, Kendall Cosby and Tom Lounibos in February 2006 and is headquartered in Mountain View, CA.

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Scribit engages in providing online content marketing platform. The company was founded by Paul Kaib, Brent Walker, Josh Hofmann and Gregg Steven Freishtat and is headquartered in Atlanta, GA.

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Nomadix, Inc. provides solutions to the public Internet access market. It sells a range of Internet access gateways powered by the Nomadix Service Engine (NSE) software to Public Access Service Operators (PASOs), service providers, system integrators and venue owners who are deploying public Internet access networks, visitor-based networks and metropolitan wireless fidelity (WiFi) hot zones. The company was founded in 1998 and is headquarters in Agoura Hills, CA.

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