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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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

Philip DiNapoli

Director of Trading & Head of Institutional Sales

Theodore D. Roth

President & Head of Investment Banking

Jeff Martin

Director of Research & Senior Research Analyst

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

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ROTH Capital Partners LLC
Recent Transactions
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Transaction Clients
Underwriter
Delcath Systems, Inc.

Advised on Delcath Systems, Inc. issued USD Units

Underwriter
Galena Biopharma, Inc.

Advised on Galena Biopharma, Inc. issued USD Units

Underwriter
Catalyst Pharmaceuticals, Inc.

Advised on Catalyst Pharmaceuticals, Inc. issued USD Common Stock

Transaction Advisors
Legal Advisor
Goodwin Procter LLP

Advised onRing Energy, Inc. issued USD Common Stock

Legal Advisor
Covington & Burling LLP

Advised onCelldex Therapeutics Inc. issued USD Common Stock

Legal Advisor
Davis Polk & Wardwell LLP

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

Legal Advisor
Jonathan J. Russo

Advised onLannett Co., Inc. issued USD Common Stock

Legal Advisor
Ivan K. Blumenthal

Advised onIntec Pharma Ltd. issued USD Ordinary Shares

Legal Advisor
Michael D. Maline

Advised onFlamel Technologies SA issued USD American Depositary Shares (ADS)
Advisors & Consultants
Custodian
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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
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.

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