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April 24, 2015 8:36 PM ET

Capital Markets

Company Overview of Roth Capital Partners, LLC

Company Overview

Roth Capital Partners, LLC (ROTH) is an investment banking firm that focuses on the small-cap public market. The firm offers IPO underwriting services to small-cap companies; capital raising services for public companies; and placement services of PIPE transactions. Additionally, it provides investment banking services including capital raising, research coverage, trading and market making, merger and acquisition advisory, and investor conferences. ROTH has raised over $10.6 billion for small-cap public companies and over $3 billion through PIPE transactions. The firm has completed transactions totaling more than $2 billion for US-listed Chinese companies. It offers financing services to sma...

888 San Clemente Drive

Newport Beach, CA 92660

United States

Founded in 1984

Phone:

949-720-5700

Fax:

949-720-7215

Key Executives for Roth Capital Partners, LLC

Chairman and Chief Executive Officer
Age: 51
Chief Operating Officer and Chief Financial Officer
Age: 60
Managing Director
Managing Director
Managing Director and Head of Equity Capital Markets
Compensation as of Fiscal Year 2014.

Roth Capital Partners, LLC Key Developments

Roth Capital Partners, LLC Appoints David T. Farina, CFA as Managing Director, Investment Banking

Roth Capital Partners, LLC announced that David T. Farina, CFA has joined the firm as a Managing Director in Investment Banking with a focus on Industrials, Business Services and Technology. Prior to ROTH, Mr. Farina was a Managing Director at Barrington Research and also a Principal at William Blair & Company, L.L.C where he worked in various capacities for 17 years. Responsibilities included Co-Head of the technology investment banking practice and also served as Head of Confidential Offerings practice for small-cap public companies.

ROTH Capital Partners Appoints Elemer Piros as Senior Research Analyst

ROTH Capital Partners announced that Elemer Piros, Ph.D. has joined the firm as Senior Research Analyst covering the Biotechnology sector. Prior to joining ROTH, Dr. Piros was the interim CEO of eMMUNITY, Inc, an immunotherapy startup company.

eASIC Mulls IPO

eASIC Corporation announced that it has publicly filed a registration statement on Form S-1 with the U.S. Securities and Exchange Commission (SEC) relating to a proposed initial public offering (IPO) of its common stock. The number of shares to be offered and the price range for the proposed offering have not been determined. eASIC intends to apply to list its common stock on the Nasdaq Global Select Market under the ticker symbol “EASI”. Morgan Stanley & Co. LLC and Deutsche Bank Securities Inc. will act as joint book-running managers for the offering. Raymond James & Associates, Inc., Robert W. Baird & Co. Incorporated, William Blair & Company, L.L.C., Roth Capital Partners, LLC and Northland Securities, Inc. will act as co-managers.

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Recent Private Companies Transactions

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Date
Target
No transactions available in the past 12 months.
 

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