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 & Head of Equity Capital Markets

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

Board of Directors

Chairman & Chief Executive Officer at ROTH Capital Partners LLC

Director & Research Analyst at ROTH Capital Partners LLC

Director & Research Analyst at ROTH Capital Partners LLC

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ROTH Capital Partners LLC
Recent Transactions
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I.D. Systems, Inc. purchases Pointer Telocation Ltd.

Details Hidden

A&M Capital Advisors LP, Bolle, Inc., Vista Outdoor, Inc. purchase SPY, Inc.

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Yanmar Holdings Co., Ltd., Yanmar America Corp. purchase ASV Holdings, Inc.

Transaction Clients
Underwriter

Advised on Galena Biopharma, Inc. issued Units

Underwriter

Advised on Catalyst Pharmaceuticals, Inc. issued USD Common Stock

Underwriter

Advised on Keryx Biopharmaceuticals, Inc. issued Common stock

Transaction Advisors
Legal Advisor

Advised onGenfit SA issued USD American Depositary Shares

Legal Advisor

Advised onIntercept Pharmaceuticals, Inc. issued USD Common Stock

Legal Advisor

Advised onMedallia Inc. issued USD Common Stock

Legal Advisor

Advised onLannett Co., Inc. issued Common Stock

Legal Advisor

Advised onIntec Pharma Ltd. issued USD Ordinary Shares

Legal Advisor

Advised onFlamel Technologies SA issued American Depositary Shares

Advisors & Consultants
Custodian

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

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.

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