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Roth Capital Partners

Roth Capital Partners, LLC is an employee-owned, full-service investment bank founded in 1992 and headquartered in , with a global trading floor in . It specializes in providing relationship-driven strategic and financial advisory services to growth companies across various sectors, including equity and debt capital markets, , equity research, and corporate access events. The firm focuses on emerging growth and small-cap public companies, offering expertise in initial public offerings, follow-on offerings, private placements, and debt financings, acquisitions, divestitures, and defensive advisory. Since its , Roth Capital Partners has raised over $100.5 billion in capital for clients and completed more than 425 mergers, acquisitions, and advisory assignments. It also conducts over 350 deal and non-deal events annually and serves as a in more than 275 stocks, emphasizing long-term client relationships and community .

History

Origins and Founding

Roth Capital Partners traces its origins to 1977, when Walter Cruttenden III founded Capital Data Bank as a pioneering computerized system designed to match private companies with private investors in the financial markets. This initial venture focused on providing data services to facilitate connections in emerging growth sectors, addressing a gap in technology-driven financial matchmaking at a time when manual processes dominated the industry. Cruttenden, an innovator in financial services, led the company as CEO, emphasizing efficiency through automation to support early-stage capital formation. By 1984, the firm underwent a significant transformation, rebranding as Cruttenden & Co. and expanding beyond data services into full operations, including brokerage activities. This shift marked the company's entry into serving small-cap public markets, where it began offering capital raising and advisory services tailored to growth-oriented companies. Under Cruttenden's leadership, the firm innovated in the under-served small-cap sector by introducing market-making capabilities and structured financing solutions, helping to bridge liquidity challenges for micro-cap issuers during the . The foundational emphasis on small-cap innovation laid the groundwork for Cruttenden & Co.'s evolution, with early efforts centered on fostering relationships between emerging companies and investors through targeted brokerage and capital-raising initiatives. This period solidified the firm's reputation for expertise in niche public markets, distinct from larger institutions. The company later renamed itself Roth Capital Partners in 2000 to reflect changes in ownership and focus.

Major Milestones and Acquisitions

In 2000, the firm, previously known as Cruttenden Roth Incorporated, was renamed Roth Capital Partners under the leadership of Byron Roth, who had joined in 1992 and acquired a significant stake, marking a strategic shift to emphasize services for emerging growth companies. This renaming solidified the company's identity as a focused on small- and micro-cap sectors. Additionally, the firm launched its annual investor conferences in 1988, events that have since grown into one of the largest platforms in the U.S. for growth companies to connect with institutional investors, consistently ranked among the top 100 investor events for multiple years. The series continued with the 37th Annual Conference held in March 2025. In 2004, Byron Roth co-founded Cortina in partnership with Roth Capital Partners, establishing a Milwaukee-based firm specializing in small-cap growth equity strategies. Cortina managed assets focused on long-only investments until its acquisition by Asset Management Group in 2019, which integrated its operations and portfolio into the larger entity. Roth Capital Partners expanded into private investments with the co-founding of RX3 Ventures in , a growth equity fund targeting innovative consumer brands, backed by influencers including athletes and celebrities. As of 2023, RX3 had raised $200 million across its funds, including an initial $50 million close in 2019 and a $150 million second fund in 2023, enabling investments in category-defining companies at the intersection of and . A key strategic acquisition occurred in February 2023 when Roth Capital Partners purchased MKM Partners, a Stamford, Connecticut-based firm, enhancing its research, sales, and trading capabilities to better serve institutional clients. This move broadened Roth's platform for and execution services, particularly in equity markets. Since 1992, Roth Capital Partners has achieved significant scale in supporting growth companies, raising over $100.5 billion in capital for small-cap public firms through more than 2,300 deals and completing over 425 merger, acquisition, and advisory assignments across diverse sectors. These milestones underscore the firm's enduring role in facilitating capital access and strategic transactions for emerging businesses.

Leadership and Structure

Executive Team

Roth Capital Partners' executive team is led by a group of seasoned professionals who guide the firm's strategic direction, operations, and growth initiatives in the sector. The structure emphasizes a collaborative , with co-CEOs sharing responsibilities for overall and specialized oversight in key areas such as markets and financial operations. Byron Roth serves as Executive Chairman, a role in which he oversees the firm's strategic direction and philanthropic efforts. Roth joined the firm in 1992, acquiring a 15 percent stake and ascending to in 1994, building on his family's legacy in as the son of Ted Roth. Under his , Roth Capital Partners has facilitated the raising of over $100 billion for small-cap companies through services. He was honored as the Philanthropist of the Year by the Elephant Cooperation for his contributions to charitable causes. Ted Roth serves as Vice Chairman. As the founder of the firm in 1992, he provides ongoing guidance on strategic initiatives and maintains involvement in client relationships and . Sagar Sheth is , focusing on overall operations and strengthening client relationships across sectors. Sheth joined MKM Partners in 2014, progressing through various management roles to become and before Roth Capital Partners' acquisition of MKM in February 2023, after which he assumed his current position to integrate and expand the combined entity's capabilities. Holding a BA in from the and an MBA from the University of Chicago Booth School of Business, Sheth has been instrumental in driving operational and market expansion post-acquisition. Aaron M. Gurewitz acts as Co-Chief and Head of , with primary responsibility for driving capital raising, equity offerings, and trading activities. Gurewitz has served as Head of Equity Capital Markets since January 2001, managing over 1,000 public offerings, including IPOs and follow-ons, which have been central to the firm's support for emerging growth companies. Prior to his executive roles, he was a in Roth's Department and previously worked at Wedbush Morgan Securities, bringing extensive experience in securities transactions to his strategic oversight of the firm's banking operations. Gordon Roth is , managing the firm's financial operations, compliance, and long-term planning. He has held the position since 2000, also serving as until 2023, ensuring robust financial amid the firm's expansion, including the 2023 MKM acquisition. Before joining Roth Capital Partners, Roth founded and chaired Roth and , PC, an firm, from 1990 to 2000, providing a strong foundation in for his current role in supporting regulatory adherence and fiscal strategy. Nazan Akdeniz is , overseeing day-to-day operations, technology, and administrative functions since assuming the role post-2023. With prior experience in operations, she supports the firm's growth and integration efforts following key acquisitions.

Organizational Culture and Employees

Roth Capital Partners operates as a 100% employee-owned firm, a structure established since 1992 that promotes long-term alignment between staff and company success. This ownership model fosters a family-like where employees are treated as integral to the organization's growth, emphasizing teamwork, individual talents, and mutual respect. With approximately 387 employees as of 2025, the firm maintains a collaborative environment that encourages innovation in serving small-cap markets through relationship-driven strategies. The company's internal ethos prioritizes and retention, evidenced by many employees remaining with the firm for over 20 years, supported by opportunities to engage with innovative growth companies across sectors. Roth Capital demonstrates a commitment to , with team members actively mentoring junior staff and contributing to related initiatives. This focus extends to work-life balance in a relatively relaxed setting compared to traditional investment banks, enhancing employee satisfaction and operational efficiency. Roth Capital's global presence is anchored by its headquarters at 888 San Clemente Drive, Suite 400, in , which serves as the central hub for strategic operations. Key facilities include a global trading floor at 677 Washington Blvd., Suite 510, in , and a New York office at , 23rd Floor. The firm operates up to 10 additional U.S. offices, including locations in at 50 California Street, Suite 1500; Chicago at 141 West Jackson Blvd., Suite 3050; and Austin at 9433 Bee Caves Road, Suite 240, facilitating nationwide client interactions and staff collaboration. To support professional growth and client relationships, Roth Capital organizes over 350 annual deal and non-deal events, including roadshows and conferences, providing employees with extensive networking and skill-building opportunities. These initiatives, combined with the firm's emphasis on proprietary research and advisory services, reinforce a culture of continuous learning and innovation.

Services and Operations

Investment Banking and Advisory

Roth Capital Partners provides full-service tailored to small- and micro-cap growth companies, specializing in and offerings to facilitate capital raising in public and private markets. The firm assists clients with initial public offerings (IPOs), follow-on offerings, and financings, including convertible notes and high-yield bonds, enabling emerging companies to access necessary funding for expansion. Additionally, Roth executes private placements and (private investment in public equity) transactions, acting as placement agent to connect issuers with institutional investors such as hedge funds and mutual funds. These services are particularly geared toward small- and micro-cap firms, where traditional investment banks may offer limited support. In the realm of mergers and acquisitions (M&A), Roth has completed over 425 advisory assignments since 1992, encompassing strategic sales, mergers, divestitures, and corporate restructurings. The firm's M&A advisory team provides end-to-end guidance, from target identification and valuation analysis to negotiation and deal structuring, often delivering fairness opinions to ensure equitable transactions. This expertise helps growth companies navigate complex deal environments, including cross-border transactions and leveraged buyouts, with a focus on maximizing shareholder value. Roth's financial advisory services extend to broader strategic counsel for emerging growth companies, emphasizing public market access and valuation methodologies. The firm advises on go-to-market strategies for listings on exchanges like and NYSE, including compliance with regulatory requirements and investor outreach. Valuation services incorporate models, comparable company analysis, and precedent transaction reviews to support decision-making in capital raises or exits. A recent example includes Roth's engagement in February 2025 as strategic M&A advisor to Nuvve Holding Corp., a cleantech firm specializing in infrastructure, to explore growth opportunities through potential acquisitions or partnerships.

Equity Research, Trading, and Conferences

Roth Capital Partners maintains a robust equity division, with over 30 s providing coverage of more than 450 companies globally, primarily focused on small- and mid-cap stocks across sectors such as , healthcare, and consumer goods. The firm's reports offer in-depth , including forecasts, valuation models, and sector outlooks, serving as key resources for institutional investors and corporate clients seeking insights into emerging opportunities. Following the 2023 acquisition of MKM Partners, Roth integrated MKM's capabilities, expanding its team and enhancing coverage depth, particularly in and industrials, to deliver more comprehensive reports and strategy notes. This integration has bolstered the production of over 80 derivatives strategy notes annually, incorporating trading ideas both within and beyond the core coverage universe. In sales and trading, Roth operates a global trading floor in , which serves as the hub for its institutional brokerage activities. The team functions as a for listed and securities, ensuring liquidity and efficient execution for client orders in and markets. Sales traders facilitate secondary trading for institutional clients, including hedge funds, mutual funds, and family offices, by providing access to block trades, algorithmic execution, and real-time market intelligence to support portfolio management and risk mitigation. This infrastructure, enhanced by the MKM acquisition, enables seamless handling of high-volume transactions while prioritizing client relationships and competitive pricing. Roth hosts a series of high-profile investor conferences that facilitate direct interactions between growth companies and institutional investors. The flagship event is the annual ROTH Conference, with the 38th edition scheduled for March 22-24, 2026, in , featuring presentations and meetings with over 500 public and private companies. These events emphasize 1-on-1 and small-group meetings, , and panels to foster deal flow and market intelligence sharing. Additional conferences include the 14th Annual ROTH Technology Conference on November 18-19, 2025, in , focusing on tech innovators; the sponsorship of the 2025 PIPEs Conference on November 12-13 in , targeting strategies; and the 8th Annual ROTH Sustainability Private Capital Virtual Event on October 28-29, 2025, highlighting ESG-focused opportunities. For six consecutive years from 2014 to 2019, the ROTH Conference was ranked among the top 100 events by BizBash, underscoring its prominence in the financial .

Sectors of Focus

Core Growth Sectors

Roth Capital Partners maintains a strong emphasis on established growth sectors that drive economic expansion, providing services tailored to small- and mid-cap companies navigating markets. In the Business Services sector, the firm supports growth-oriented companies in consulting, IT services, and professional services, which encompass subsectors such as , and , , and telecommunications services. These businesses typically operate on service-based models that leverage expertise to deliver scalable solutions, capitalizing on market opportunities in and operational efficiency amid rising demand for outsourced professional support. Roth facilitates their growth through advisory services like , fairness opinions, and raising via equity and debt offerings, helping clients achieve strategic and financial objectives in a competitive small-cap landscape. For example, Roth acted as joint book-running manager for , Inc.'s $25 million IPO in December 2024. The Consumer sector represents another pillar, where Roth aids public and private companies in , , and brands seeking access to public markets for expansion. Business models in this area often combine sales, strategies, and brand-building through acquisitions or organic growth, addressing opportunities in evolving consumer behaviors driven by and experiential products. Roth's involvement includes for initial public offerings, offerings, and M&A advisory, leveraging deep industry networks to navigate challenges like disruptions and market saturation. Recent activity includes serving as sole book-running manager for Lakeland Industries, Inc.'s offering in January 2025. In , Roth provides comprehensive services to growth companies in oil and gas , , and renewables across U.S. and international basins, with some overlap in sustainable practices that align with broader environmental trends. These firms employ asset-intensive models focused on and (E&P), (LNG), oilfield services, and , capitalizing on cycles and geopolitical shifts that create opportunities in onshore and offshore developments. The firm supports them via , , and strategic advisory, enabling navigation of volatile markets and regulatory landscapes. As of May 2025, Roth co-managed Sable Offshore Corp.'s $295 million follow-on offering. Healthcare forms a critical focus, with Roth offering advisory and financing for companies in biotechnology, therapeutics, drug discovery, and medical devices. Business models here revolve around research and development pipelines, clinical trials, and commercialization of innovative treatments or devices, tapping into market opportunities from aging populations and advances in . Roth assists through follow-on offerings, private investments in public equity, M&A transactions, licensing deals, and partnerships, providing strategic guidance for development-stage and commercial entities. In December 2024, Roth co-managed LeMaitre Vascular, Inc.'s $172.5 million follow-on offering. Finally, the sector benefits from Roth's expertise in software, , and technology-driven transactions like IPOs and M&As. These companies pursue subscription-based, , or ad-supported models that through in areas such as , cloud infrastructure, platforms, and internet services, amid opportunities in digital disruption and data analytics. Roth delivers capital market access via and financings, structured products, and advisory for initiatives, helping clients capitalize on rapid technological evolution. Recent transactions include co-managing TeraWulf Inc.'s offering in August 2025.

Specialized and Emerging Areas

Roth Capital Partners provides specialized support in industrial growth areas, particularly within cleantech and industrials, where it assists companies in eMobility, smart cities infrastructure, water and waste technologies, and advanced materials through capital raising, M&A advisory, and strategic guidance tailored to high-growth challenges such as regulatory hurdles and supply chain complexities. The firm's Industrial Growth team focuses on sub-sectors like auto parts and equipment for eMobility solutions, energy infrastructure for smart city developments, and manufacturing processes that incorporate advanced materials and environmental technologies, enabling clients to scale innovations amid volatile market conditions. For instance, Roth has facilitated transactions like the $10 million ATM program for Broadwind Energy, Inc., a provider of components for wind and industrial applications, highlighting its role in funding cleantech-adjacent industrials (September 2018). In the metals and sector, Roth offers comprehensive services to mining companies globally, with a strong emphasis on financing to address the capital-intensive nature of early-stage resource discovery and . The team, led by managing directors such as Greg Giebel and Joseph Barry, provides equity offerings, debt placements, and M&A advisory, drawing on over 40 years of combined expertise to navigate geopolitical risks, commodity price fluctuations, and permitting challenges unique to precious, base, industrial, and strategic metals . Notable examples include serving as sole placement agent for Resources' AUD $5.01 million follow-on offering in 2021 to fund mineral and co-managing Royalty Corp.'s $90 million IPO for royalty financing in mining assets. This global reach extends to clients in regions like , , and , supporting sustainable practices integrated with broader sector demands. Roth's sustainability practice delivers advisory services to ESG-oriented firms in clean fuels, , agtech, and , helping them overcome barriers like technology commercialization and scrutiny through targeted markets access and strategic partnerships. Co-headed by managing directors Jesse Pichel and , the team advises on sub-sectors including clean fuels and green chemistries for low-carbon alternatives, and agtech under environmental solutions for and , and technologies for deployment. Key transactions underscore this expertise, such as co-managing NEXTracker, Inc.'s $734.2 million IPO in 2023 for tracking systems and Sunnova Energy International's $86.5 million follow-on offering for residential services, demonstrating Roth's impact on scaling ESG-compliant growth. Cleantech deals, like acting as financial advisor for Nuvve Holdings Corp.'s merger in March 2021, further illustrate integration with core energy transitions. Complementing these efforts, Roth maintains dedicated coverage in , environmental technologies, and green chemistries, led by senior analysts who provide in-depth equity analysis to inform investment decisions in these niche areas. Analysts such as Craig Irwin, specializing in cleantech including biofuels and advanced lighting materials, and Philip Shen, focusing on renewables and technologies, deliver reports on over 113 companies, emphasizing innovation in green chemistries and environmental solutions like and waste . Additional coverage from Justin Clare and Chip Moore, CFA, extends to agtech and fuels, offering insights into market dynamics and valuation for that support circular economies. This underscores Roth's commitment to fostering capital flow into that address environmental challenges.

Philanthropy and Community Engagement

Key Charity Partnerships

Roth Capital Partners has maintained a long-term partnership with the Challenged Athletes Foundation (CAF) since 2012, focusing on providing adaptive sports opportunities for athletes with physical disabilities through support for prosthetic devices and related programs. In 2015, Byron Roth, Executive Chairman of the firm, was honored at the CAF's Celebration of Heroes, Heart and Hope Gala for his contributions to the organization's mission of empowering physically challenged individuals to achieve their potential in sports and life. The firm also collaborates closely with , emphasizing youth development programs that foster competence, character, and a sense of belonging among young people in underserved communities. Byron Roth serves as Chair of the Pacific Region Board of Trustees and as a National Trustee, providing strategic leadership to expand access to after-school and recreational activities nationwide. Since 2016, Roth Capital Partners has partnered with the Elephant Cooperation, a nonprofit dedicated to protecting elephants from while addressing in affected communities through and sustainable initiatives under the motto "No Poverty, No Poaching." In recognition of his ongoing involvement, Byron Roth was named the organization's 2021 Philanthropist of the Year. Roth Capital Partners supports the Orangewood Foundation through sponsorship of its Athletes First events, which aid current and former foster youth with essential services in health, housing, and education to promote self-sufficiency. Byron Roth received the 2018 Golden Heart Award at the Athletes First Classic for his dedication to these efforts. Among other ongoing commitments, the firm backs the Sheckler Foundation, sponsoring its annual gala to assist children in need and injured action sports athletes with recovery and community reintegration programs. Additionally, individual Roth Capital Partners staff members provide personal support to the Cancer Foundation, which funds innovative and patient care, as well as to Rady Children’s Hospital, aiding pediatric healthcare and family services in .

Fundraising Events and Initiatives

Roth Capital Partners has organized and sponsored several philanthropy-driven events to support causes focused on challenged athletes, youth, and community welfare. These initiatives often integrate with the firm's annual conferences, leveraging participant networks to maximize impact. A flagship event is the annual ROTH Ride with , a fundraiser held in conjunction with the firm's conference to benefit the Challenged Athletes Foundation (). Launched in 2012, the ride has collectively raised over $2 million for , enabling grants for adaptive sports equipment and programs for individuals with physical challenges. The firm also sponsors prominent gala events to advance its charitable goals. ROTH serves as a key sponsor of the Scheckler Foundation's annual , which supports action sports athletes through scholarships and adaptive programs for underserved youth. Additionally, ROTH backs the Athletes First annual event, which honors professional athletes and community leaders while raising funds for the Orangewood Foundation's services for abused and neglected children in . Conference-tied fundraising has been a cornerstone of Roth's philanthropy, with initiatives embedded in its major gatherings. As of the 2024 ROTH Conference, the firm had raised over $1.7 million cumulatively for CAF through such efforts, including rides and donations during the event. In 2025, marking the 25th anniversary of the ROTH Conference in Dana Point, the firm expanded community partnerships, incorporating local charitable collaborations to enhance event-driven giving. Beyond physical events, Roth Capital Partners hosted the 8th Annual Private Capital Virtual Event in October 2025, which included elements supporting broader goals aligned with environmental and community . The firm's overall philanthropic impact is amplified by staff volunteering, with employees contributing time to organizations such as the Cancer Foundation and Rady , fostering direct community engagement.

Investment Activities

Notable Transactions and Deals

Roth Capital Partners has completed 2,336 transactions since 1992, raising over $100 billion in capital for small-cap companies across multiple sectors, including more than 425 M&A deals. The firm has played a key role in high-profile exits, such as Array Technologies' in 2020, and co-managed its subsequent follow-on offerings totaling $141.75 million in 2021, supporting the renewables sector's growth. Another notable exit involved New Found Gold Corp., for which Roth co-managed a C$36.1 million flow-through follow-on financing in June 2025 to fund mining exploration in Newfoundland. In the consumer space, Roth achieved an exit through its investments in SunBasket, which merged with Prüvit Ventures in a $1.3 billion all-stock transaction in December 2021, creating a combined platform. Recent engagements underscore Roth's continued involvement in strategic advisory and capital markets. In February 2025, cleantech firm Nuvve Holding Corp. engaged Roth as its strategic M&A advisor to support growth in charging and grid modernization. In the tech and sectors, Roth acted as lead book-running manager for DoubleDown Interactive's $37 million secondary offering in June 2025. Earlier, in December 2024, the firm served as sole manager for Jackson Acquisition II's $230 million , facilitating a SPAC structure in the space. Roth's transactions span key sectors with targeted expertise. In healthcare biotech, the firm provided financial advisory for Revelation Biosciences' $9.58 million warrant exchange in September 2025, aiding clinical advancements. Energy basin financings include Roth's co-management of TeraWulf Inc.'s $1.025 billion convertible senior notes offering, which closed in October 2025, bolstering sustainable computing . For metals exploration, Roth co-led placement agent for McEwen Mining Inc.'s $16.1 million flow-through financing in December 2023, funding and projects. These deals exemplify Roth's focus on high-impact capital raises and advisory in growth-oriented industries.

Impact on Small-Cap Markets

Roth Capital Partners has been a in providing public market access to small- and micro-cap growth companies since its founding in 1992, innovating through specialized conferences and equity research to lower barriers for emerging firms often overlooked by larger banks. By hosting annual events like the ROTH Conference, which facilitates direct interactions between company executives and institutional investors, the firm has democratized capital access, enabling hundreds of small-cap issuers to showcase opportunities and secure funding in a segment. This approach has reduced entry hurdles for growth-oriented businesses, fostering innovation in underserved areas by combining research-driven insights with corporate access platforms. The firm's market influence extends to active liquidity provision, serving as a market maker in over 275 stocks, which enhances trading efficiency and for small-cap securities. This role is particularly vital in illiquid, underserved sectors such as cleantech and , where Roth's trading desk facilitates smoother transactions and supports sector-specific growth by mitigating and attracting investor interest. Through these efforts, Roth has bolstered overall , allowing small-cap companies to maintain visibility and operational stability amid broader economic fluctuations. Economically, Roth has enabled the raising of over $100.5 billion in capital for small-cap companies since , supporting more than 2,300 deals including IPOs, follow-ons, SPACs, and M&As during periods of market . Its annual conferences, attracting over 3,500 attendees including investors and executives from 400+ participating companies, have directly contributed to this capital infusion by generating thousands of targeted meetings that drive investment flows into small-cap ecosystems. These activities have amplified economic impact by empowering growth firms to scale operations, create jobs, and innovate in high-potential areas. Following the 2023 acquisition of MKM Partners, Roth enhanced its research capabilities, integrating deeper sector analysis to better serve small-cap clients amid evolving market dynamics. In 2024 and 2025, the firm played a key role in the and booms, hosting dedicated events like the 8th Annual Private Capital Virtual Event and the 14th Annual Conference to connect cleantech and innovators with sources. This positioning has strengthened small-cap resilience, promoting trends in green energy and digital advancements through targeted advisory and access services.

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