ROTH Capital Partners LLC

ROTH Capital Partners LLC

ROTH Capital Partners LLC

Overview
Date Founded

2001

Headquarters

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

Type of Company

Private

Employees (Worldwide)

98

Industries

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.

Website

http://www.roth.com

Contact Data
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In The News
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April 8, 2021
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GlobeNewswire
March 10, 2021
Roth Capital Partners 33rd Annual Conference to be held Virtually March 15-17, 2021
Business Wire
March 2, 2021
Motorcar Parts of America to Present at 33rd Annual Roth Conference
PR Newswire
March 1, 2021
GoldMining's Subsidiary, Gold Royalty, Further Increases Size of Proposed Initial Public Offering
Nasdaq
March 1, 2021
Gentherm Inc (THRM) Q4 2020 Earnings Call Transcript

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Executives & Employees
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Byron Clarence Roth

Chairman & Chief Executive Officer

Gordon J. Roth

Chief Operating Officer & Chief Financial Officer

Aaron M. Gurewitz

Managing Director & Head of Equity Capital Markets

Theodore D. Roth

President & Head of Investment Banking

Jeff Martin

Director of Research & Senior Research Analyst

Philip DiNapoli

Director of Trading

Nazan Akdeniz

Director of Corporate & Executive Services

Isabel Mattson-Pain

Director of Marketing & Corporate Access

Richard L. Platt

General Counsel

Kristin Diane LaMarche

Chief Compliance Officer

Board of Directors
Byron Clarence Roth

Founding Member at University of San Diego

Scott Fortune

Director & Research Analyst at ROTH Capital Partners LLC

Justin Clare

Director & Research Analyst at ROTH Capital Partners LLC

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ROTH Capital Partners LLC
Recent Transactions
Details Hidden

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

Details Hidden

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

Details Hidden

Tengasco, Inc. purchases Riley Exploration - Permian LLC

Transaction Clients
Underwriter
Delcath Systems, Inc.

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

Underwriter
Galena Biopharma, Inc.

Advised on Galena Biopharma, Inc. issued USD Units

Underwriter
Plug Power, Inc.

Advised on Plug Power, Inc. issued USD Common Stock

Transaction Advisors
Legal Advisor
Davis Polk & Wardwell LLP

Advised onPlug Power, Inc. issued USD Common Stock

Legal Advisor
Cooley LLP

Advised onMedallia Inc. issued USD Common Stock

Legal Advisor
Goodwin Procter LLP

Advised onGenfit SA issued USD American Depositary Shares

Legal Advisor
Jonathan J. Russo

Advised onLannett Co., Inc. issued USD Common Stock

Legal Advisor
Thomas S. Levato

Advised onArcturus Therapeutics Holdings, Inc. issued USD Common Stock

Legal Advisor
Ivan K. Blumenthal

Advised onIntec Pharma Ltd. issued USD Ordinary Shares
Advisors & Consultants
Custodian
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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
Steven D. Pidgeon

Co-Managing Partner at DLA Piper

Legal Advisor
Michael T. Raymond

Member (Attorney) at Dickinson Wright PLLC
Clients
General Electric Pension Trust

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
$1,000 +
2018
University of San Diego

$1,000 +
2016
University of San Diego

$25 - $49
2015
Preservation Greensboro, Inc.

Investments
Details Hidden
SOASTA Inc.

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.

Details Hidden
Scribit

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.

Details Hidden
Nomadix, Inc.

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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