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.

Contact Data
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Executives & Employees

Chairman & Chief Executive Officer

Chief Operating Officer & Chief Financial Officer

Managing Director

Director of Trading & Head of Institutional Sales

President & Head of Investment Banking

Director of Research & Senior Research Analyst

Director of Corporate & Executive Services

Director of Marketing & Corporate Access

General Counsel

Chief Compliance Officer

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Recent Transactions
Details Hidden

NV5 Global, Inc. purchases Quantum Spatial, Inc. from Arlington Capital Partners LLC

Details Hidden

Integra Resources Corp. raised money in a private placement transaction

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I.D. Systems, Inc. purchases Pointer Telocation Ltd. resulting in a new company PowerFleet, Inc.

Transaction Clients
Underwriter

Advised on Delcath Systems, Inc. issued USD Units

Underwriter

Advised on Galena Biopharma, Inc. issued USD Units

Underwriter

Advised on Catalyst Pharmaceuticals, Inc. issued USD Common Stock

Transaction Advisors
Legal Advisor

Advised onRing Energy, Inc. issued USD Common Stock

Legal Advisor

Advised onCelldex Therapeutics Inc. issued USD Common Stock

Legal Advisor

Advised onON Semiconductor Connectivity Solutions, Inc. issued USD Common Stock

Legal Advisor

Advised onLannett Co., Inc. issued USD Common Stock

Legal Advisor

Advised onIntec Pharma Ltd. issued USD Ordinary Shares

Legal Advisor

Advised onFlamel Technologies SA issued USD American Depositary Shares (ADS)

Advisors & Consultants
Custodian

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

Legal Advisor

Co-Managing Partner at DLA Piper

Legal Advisor

Member (Attorney) at Dickinson Wright PLLC

Clients

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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