September 20, 2017 12:45 PM ET

Capital Markets

Company Overview of Roth Capital Partners, LLC

Company Overview

Roth Capital Partners, LLC is an investment banking firm that focuses on the small-cap public market. The firm offers investment banking, capital markets, private capital and open round, institutional sales and trading, research, corporate and marketing services. Within investment banking it offers initial public offerings; reverse mergers; OTCQX advisory primarily focused on foreign and domestic small-cap companies; debt capital and equity capital markets; PIPE's; follow-on and registered direct offerings; convertible debt; strategic advisory; capital raising; research coverage; trading and market making; merger and acquisition advisory services including acquisitions, divestitures, mergers...

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: 54
President and Head of Institutional Sales
Age: 66
Chief Operating Officer and Chief Financial Officer
Age: 63
Head of Healthcare Investment Banking and Vice Chairman
Age: 55
Managing Director, Pacific Northwest Region
Compensation as of Fiscal Year 2017.

Roth Capital Partners, LLC Key Developments

ROTH Capital Partners Appoints J. Barry as Managing Director, Investment Banking

ROTH Capital Partners announced that J. Barry has joined the firm as a Managing Director, Investment Banking, with a focus on Resources, Metals & Minerals. Prior to joining ROTH, Mr. Barry was a Managing Director at Rodman & Renshaw from 2013 to 2017.

Cosmos Holdings Inc. Engages Roth Capital Partners, LLC to Provide Financial Advisory Services

Cosmos Holdings Inc. announced that it has engaged ROTH Capital Partners, LLC to provide financial advisory services, in particular related to evaluating multiple financing options. ROTH also will focus on assisting the company in creating and executing new strategies for maximizing shareholder value through its full scope of investment banking services. The Company does not have a defined timeline for a financing and cannot provide any assurance whether or when a financing will be announced or consummated.

ReneSola Ltd. Engages Roth Capital Partners as Financial Advisor and Kirkland & Ellis as U.S. Legal Counsel

ReneSola Ltd. announced that the special committee of its board of directors has retained Roth Capital Partners as its financial advisor and Kirkland & Ellis as its U.S. legal counsel in connection with its review and evaluation of the previously-announced preliminary non-binding proposal (Proposal), dated June 13, 2017, from Mr. Xianshou Li, the company's Chairman and Chief Executive Officer (Mr. Li), to acquire the company's manufacturing business (including polysilicon, solar wafer and solar module manufacturing) and LED distribution business and assume related indebtedness and other alternatives available to the company.

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Recent Private Companies Transactions

Type
Date
Target
No transactions available in the past 12 months.
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