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
Trying to get in touch with decision makers at ROTH Capital Partners LLC? Subscribe today to access their professional contact information and receive a one time promotion of free Contact Data credits!
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

Paths to ROTH Capital Partners LLC
Potential Connections via
Relationship Science
ROTH Capital Partners LLC
Recent Transactions
Details Hidden

CRISPR Therapeutics AG issued USD Common Shares

Details Hidden

Atreca, Inc. issued USD Common Stock

Details Hidden

Altimmune, Inc. issued USD Common Stock

Transaction Clients

Advised on Delcath Systems, Inc. issued USD Units


Advised on Galena Biopharma, Inc. issued USD Units


Advised on Catalyst Pharmaceuticals, Inc. issued USD Common Stock

Transaction Advisors
Legal Advisor

Advised onIntercept Pharmaceuticals, Inc. issued USD Common Stock

Legal Advisor

Advised onMedallia Inc. issued USD Common Stock

Legal Advisor

Advised onCymaBay Therapeutics, 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

Merrill Lynch, Pierce, Fenner & Smith, Inc. (San Francisco), part of Bank of America Corp., 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
This web site is not endorsed by, directly affiliated with, maintained, authorized, or sponsored by ROTH Capital Partners LLC. The use of any trade name or trademark is for identification and reference purposes only and does not imply any association with the trademark holder. The Presence of ROTH Capital Partners LLC's profile does not indicate a business or promotional relationship of any kind between RelSci and ROTH Capital Partners LLC.