ROTH Capital Partners, LLC · Newport Beach, CA United States
Company Description
Phone: 949-720-5700
Fax: 949-720-7215
Toll Free: 800-678-9147
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This link will open in a new window In ROTH's eyes, the West might be the best, but the East is no slouch, either. ROTH Capital Partners is an investment banking firm with a focus on the small and micro-cap market ($150 million or less). Services include underwriting, research, market making, and advisory services. The company has raised more than $10.6 billion for small-cap firms, including some $3 billion for private investment in public entity (PIPE) transactions. ROTH operates a handful of offices in the western US and representative office in China (opened in 2007). In addition to investment banking, the firm offers brokerage and asset management services. ROTH Capital Partners was founded in 1984 and is management-owned.
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Key ROTH Capital Partners, LLC Financials
| Company Type | Private Headquarters |
| Fiscal Year-End | June |
| Annual Sales (mil.) | $70.0 |
| Employees | 145 |
ROTH Capital Partners, LLC Executives
29 executives listed for ROTH Capital Partners, LLC's Newport Beach, CA location.
| Title | Name & Bio | Contact |
| Chairman and CEO | Byron Roth | Network |
| Vice Chairman | Donald Straszheim | Network |
| COO and CFO | Gordon Roth | Network |
Competition
Competitive Landscape for ROTH Capital Partners, LLC
Demand is driven by economic activity that results in company mergers, acquisitions, or public financing. The profitability of an investment bank depends on its ability to accurately assess both the value of a business transaction and the readiness of the market to buy the attendant debt or equity. Big firms have an advantage because large customer transactions require firms with substantial financial resources. Small investment banks can compete by participating in syndications and operating in regional markets or specialized industries. Although labor-intensive, the industry produces very high value: average annual revenue per employee at large firms is under $1 million. The global financial crisis of 2008-2009 dramatically altered the landscape of the investment banking industry. Morgan Stanley and Goldman Sachs, the only large firms still intact, have changed their status from investment banks to bank-holding companies. Both firms still engage primarily in investment banking, but former industry leaders such as Bear Stearns, Merrill Lynch, and Lehman Brothers have either been acquired or have filed for bankruptcy protection. The demise of these firms and the late 2000s recession have likely ushered in a new era in which the creation of innovative but risky financial instruments will be replaced by more traditional banking services. The new environment also means more industry oversight by the federal government, which had to step in and bail out dozens of financial services firms with billions of dollars of taxpayers' money. To read the full description, subscribe now.Top ROTH Capital Partners, LLC Competitors
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