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February 10, 2016 10:43 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





Key Executives for Roth Capital Partners, LLC

Chairman and Chief Executive Officer
Age: 52
Chief Operating Officer and Chief Financial Officer
Age: 61
Managing Director
Managing Director
Managing Director and Head of Equity Capital Markets
Compensation as of Fiscal Year 2015.

Roth Capital Partners, LLC Key Developments

Highpower Special Committee Engages Roth Capital Partners as its Financial Advisor

Highpower International reported that the special committee of the Company's Board of Directors has retained ROTH Capital Partners as its financial advisor and Katten Muchin Rosenman as its legal counsel in connection with its review and evaluation of the non-binding investment proposal dated November 23, from Anshan Co-Operation (Group) Co. joined with China Innovative Capital Management and George Pan, Chairman and CEO, and certain management of Highpower International, to purchase newly issued shares of three subsidiaries in China wholly-owned by Highpower International Inc.

Uranium Resources, Inc. Enters into a Placement Agency Agreement with Roth Capital Partners, LLC

On December 17, 2015, Uranium Resources Inc. entered into a Placement Agency Agreement with Roth Capital Partners, LLC, pursuant to which the Company engaged Roth to act as sole placement agent in a registered direct offering to certain accredited investors. Pursuant to the terms of the Placement Agency Agreement, Roth has no obligation to buy any of the company's securities or to arrange for the purchase or sale of any specific number or dollar amount of securities. The company agreed to pay Roth an aggregate fee of 7% of the gross proceeds from the Offering.

Roth Capital Partners, LLC Presents at Alliance for Regenerative Medicine Stem Cell Meeting on the Mesa, Oct-08-2015 03:15 PM

Roth Capital Partners, LLC Presents at Alliance for Regenerative Medicine Stem Cell Meeting on the Mesa, Oct-08-2015 03:15 PM. Venue: Estancia La Jolla Hotel & Spa, 9700 North Torrey Pines Road, La Jolla, CA 92037, United States. Speakers: Joseph Pantginis, Head of Biotechnology Research & Senior Research Analyst.

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