Roth Capital Partners

Office address: 888 San Clemente Drive Suite 400 Newport Beach, CA
Website: www.roth.com
Year established: 1984
Company type: private investment banking company
Employees: 235+
Expertise: mergers and acquisitions, financing, restructuring, advisory, corporate services, technology, healthcare, sustainability, biotechnology, life sciences, energy, industrials, financial services, consumer products, resources
Parent company: CR Financial Holdings
Key people: Sagar Sheth (CEO), Byron Roth (executive chair), Aaron Gurewitz (president), Gordon Roth (CFO), Ted Roth (vice chair), Nazan Akdeniz (COO), Matthew Casamassima (managing director)
Financing status: N/A

Roth Capital Partners is an employee-owned investment bank headquartered in Newport Beach. Serving small-cap growth companies, the company has raised over $100.5 billion through 2,300 deals across multiple sectors, including technology, consumer products, and more. Their staff of over 235 across 10 locations commit to long-term client relationships, with many having been with the company for more than 20 years.

History of Roth Capital Partners

Roth Capital Partners, originally established as Capital Data Bank, was founded by Walter Cruttenden III in 1977. The company became Cruttenden & Co in 1984 when it started adding brokerage services to its portfolio. Byron Roth joined in 1992 and acquired a stake in the firm, which was renamed Cruttenden Roth after he became president two years later.

When Cruttenden left the company in 1998, Roth took over as the CEO and subsequently rebranded the organization as Roth Capital Partners. During the later years, the firm expanded by acquiring several companies and enhancing services. Roth even became known for its energetic investor conferences, featuring performances by artists like Snoop Dogg, blending finance and entertainment.

Products and Services of Roth Capital Partners

Roth Capital Partners offers a range of financial services designed to help growth companies raise capital and achieve their long-term goals. These services include:

• equity capital markets: assists companies with public offerings, IPOs, and follow-on offerings to raise capital
• mergers and acquisitions (M&A) advisory: provides strategic advice for mergers, acquisitions, divestitures, and restructuring
• debt capital markets: helps companies secure debt financing through bonds, loans, and other debt instruments
• institutional research: delivers in-depth market research and analysis to inform investment decisions
• institutional sales and trading: matches institutional investors with growth companies for investments and trading
• corporate access and conferences: facilitates meetings and conferences between companies and investors, helping to build relationships
• private placements: assists in raising capital through private offerings of equity or debt to accredited investors

Roth Capital Partners focuses on identifying and financing growth companies, providing them with the capital and financial advisory services needed to become market leaders.

Culture at Roth Capital Partners

Roth Capital Partners is described as having an environment where employees work closely with innovative companies across sectors like technology, sustainability, healthcare, and consumer products. Staff members at Roth play key roles in identifying investment opportunities, securing financing for growth companies, and providing ongoing support in capital markets. The firm's culture emphasizes independence, respect, and giving employees the tools they need to succeed:

• insurance including vision, health, and dental
• family-like culture with excellent office locations
• life insurance with competitive salary and bonuses
• flexible spending and health savings accounts
• professional growth opportunities

The firm is dedicated to positively impacting the communities in which they operate by supporting nonprofits that assist individuals facing difficult circumstances. The firm provides financial contributions and volunteer efforts to a variety of charitable organizations, aiming to uplift those in need. Roth Capital Partners’ commitment to social responsibility is demonstrated through numerous partnerships with philanthropic causes, which include:

• Challenged Athletes Foundation®: raised over $1.7 million through various conferences and events
• Boys & Girls Club: Byron Roth serves as chair of the Pacific Region Board and National Trustee for Boys & Girls Clubs of America
• Elephant Cooperation: honored Byron Roth as 2021 Philanthropist of the Year for his contributions
• Scheckler Foundation: their annual gala event is sponsored by Roth Capital Partners
• Orangewood Foundation: supports Athletes First annual event honoring professional athletes and leaders

Roth Capital Partners fosters a value-based culture that prioritizes individual talents and collaboration to maximize strengths across the team. Their long-standing success is rooted in these values and the expertise of a committed workforce.

About Roth Capital Partners CEO Sagar Sheth and Key People

Sagar Sheth oversees the firm's strategic direction and operations across its business segments as Roth Capital Partners’ CEO. Previously, he was the CEO of MKM Partners and held roles at Deutsche Bank, UBS, and Morgan Stanley. Sheth earned an MBA from the University of Chicago Booth School of Business and a BA in economics from the University of Michigan.

Roth Capital Partners is led by a team of experienced professionals who lead the firm's various departments and strategic operations:

• Byron Roth acts as the executive chair, guiding the firm’s overall strategic direction and leadership
• Aaron M. Gurewitz is the company president and head of investment banking, managing over 1,000 public offerings, including IPOs and follow-ons
• Gordon Roth serves as CFO, overseeing the firm's financial management, long-term financial planning, and reporting
• Ted Roth as vice chair supports strategic initiatives and leadership across different business segments
• Nazan Akdeniz serves as COO, managing daily operations with over 28 years of experience in the securities industry
• Matthew Casamassima, managing director and head of equity trading, leads the company’s equity trading operations across various sectors

The Future at Roth Capital Partners

Roth Capital Partners underwrote a $90 million secondary public offering for Viper Energy Partners, raising capital to repay debt and support general corporate needs. This reflects their commitment to providing essential funding for growth-oriented companies, particularly in sectors like energy. Through such high-profile deals, Roth strengthens its role as a leading middle-market investment bank, helping clients secure capital and achieve long-term success across multiple industries.

The company also recently managed a $20.5 million public offering for RazerLev, a biotechnology company focused on developing new therapies. The offering provided critical funds for RazerLev's research and product pipeline, aligning with Roth Capital Partners' expertise in supporting biotech firms. This involvement highlights the firm’s continued influence in promoting innovation within the healthcare sector while growing its capital markets presence.