ROTH Capital Partners, LLC
ROTH Capital Partners describes itself as a relationship-driven investment bank focused on growth companies and their investors. Its stated services include M&A advisory, capital raising, equity research, sales and trading, derivatives strategies and corporate access.
What stands out about ROTH Capital Partners, LLC
ROTH publicly presents a broad investment-banking and capital-markets platform for growth-oriented public and private companies, entrepreneurs and investors. Its disclosed M&A services include acquisitions, divestitures, mergers, company-sale advisory, defensive advisory, special-committee advisory and fairness opinions.[1][3][5][6]
What does ROTH Capital Partners, LLC do?
ROTH Capital Partners, LLC describes itself as a relationship-driven investment bank focused on growth companies and their investors. Its publicly stated platform spans capital raising, equity research, macroeconomics, sales and trading, technical insights, derivatives strategies, M&A advisory and corporate access.
ROTH identifies Newport Beach, California as its headquarters and Stamford, Connecticut as the location of its global trading floor.[1]
ROTH publicly states that its investment-banking services include IPOs, follow-on offerings, secondary offerings, private placements, at-the-market offerings, SPACs, acquisitions, divestitures, mergers, defensive advisory, company-sale advisory, special-committee advisory and fairness opinions.
Its broader full-service platform also includes capital raising, equity research, macroeconomics, sales and trading, technical insights, derivatives strategies and corporate access.[1][3]
Owners comparing advisory firms can also review Auxo’s M&A advisor vs. business broker vs. investment bank comparison, advisor-selection guide, and sell-side advisor evaluation framework.
What should a business owner evaluate before hiring ROTH Capital Partners, LLC?
Owners evaluating ROTH can compare the firm’s disclosed M&A advisory services and growth-company sector coverage with the experience required for their situation. The public transaction archive includes a majority sale, an agreed acquisition and an M&A transaction, but the archive does not consistently disclose consideration, buyer identity or transaction value for every M&A advisory assignment.
ROTH’s investment-banking page also does not publish standardized advisory fees, minimum engagement size, success-fee percentages or termination and tail provisions. An owner should therefore request comparable completed transactions, the proposed senior team, the anticipated buyer universe and outreach process, conflict procedures, valuation methodology and the engagement’s fee and expense terms.[3][4][6]
Which recent completed transactions are comparable by sector, revenue, EBITDA, enterprise value and ownership structure
What buyer universe and outreach process would be used for a company-sale mandate
Which senior bankers would lead the engagement
What size transactions and clients does ROTH Capital Partners, LLC focus on?
ROTH lists Agribusiness, Business Services, Consumer, Digital Assets, Infrastructure & Blockchain, Energy, Healthcare, Industrial Growth, Metals & Mining, Sustainability, and Technology & Media as sectors.
Its sector materials state that the Energy team serves growth companies operating in U.S. and international basins, while the Metals & Mining team serves public and private junior mining companies across the world.[4]
ROTH’s current transaction archive identifies the firm as exclusive financial adviser to Kizuki Ramen & Izakaya on its majority sale to Yoshinoya in September 2026. The archive also identifies ROTH as financial adviser to Texas Mineral Resources in connection with an agreed acquisition in March 2026.
Other listed examples include ROTH as financial adviser to Redwire Corporation in a $925,000,000 M&A transaction in June 2025, joint book-running manager for Ticketplus Ltd.’s $17,071,000 IPO in August 2026, and lead manager for WhiteFiber, Inc.’s $310,000,000 convertible senior notes transaction in August 2026.[6]
ROTH’s stated transaction services cover acquisitions, divestitures, mergers, company-sale advisory, defensive advisory, special-committee advisory and fairness opinions. The firm also describes capital-markets services including IPOs, follow-on offerings, secondary offerings, private placements, at-the-market offerings and SPACs.[3]
What does ROTH Capital Partners, LLC publicly disclose about fees, process and engagement terms?
ROTH’s investment-banking page does not publish a universal advisory-fee schedule, minimum engagement size, standard success-fee percentage, or standard termination/tail provisions.
ROTH’s transaction archive does not consistently disclose consideration, buyer identity or transaction value for every M&A advisory assignment displayed on the page.[3][6]
ROTH Capital Partners, LLC is described in an SEC-filed audited financial statement as a California limited liability company formed on February 2, 2001, majority owned 91.36% by CR Financial Holdings, Inc. The filing also identifies ROTH as a broker/dealer registered with the Securities and Exchange Commission and a member of FINRA.
The current FINRA organization-level report identifies RBC Capital Markets, LLC and BofA Securities, Inc. as ROTH’s fully disclosed clearing firms and states that ROTH refers or introduces customers to other brokers and dealers.[2][7]
ROTH publicly describes a full-service platform combining M&A advisory with capital raising, research, sales and trading, derivatives strategies and corporate access. Its stated investment-banking services include company-sale advisory, acquisitions, divestitures, mergers, special-committee advisory and fairness opinions.
The public descriptions do not establish the process, staffing model, buyer-outreach approach or engagement terms for a particular owner mandate.[1][3]
Questions to ask before hiring ROTH Capital Partners, LLC
Which recent completed transactions are comparable by sector, revenue, EBITDA, enterprise value and ownership structure?
What buyer universe and outreach process would be used for a company-sale mandate?
Which senior bankers would lead the engagement?
What are the success fee, retainer, expense, termination and tail provisions?
How are conflicts handled across ROTH's investment banking, research, sales and trading activities?
Which disclosed transaction examples represent completed closings rather than announced or pending assignments?
Sources & research notes
- Official website / firm overview
- SEC filing / regulatory record
- Services / capabilities
- Industry / market focus
- Company / investment criteria
- Transaction / portfolio evidence
- FINRA regulatory record
How this profile was researched
Auxo profiles are prepared from publicly available primary and authoritative sources and reviewed for entity identity, factual support and disclosure consistency. When a fact cannot be supported by the reviewed public record, the profile identifies it as something to confirm directly rather than inferring it.
Independent research profile
This profile was prepared by Auxo Capital Advisors from publicly available information believed to be reliable and is provided solely for informational and educational purposes. It is not an endorsement, recommendation, ranking, solicitation, or representation regarding the profiled firm, its services, qualifications, transaction experience, regulatory status, financial condition, or suitability for any particular person, company, transaction, or investment.
Information obtained from third-party and public sources may be incomplete, inaccurate, outdated, or subject to change, and Auxo Capital Advisors makes no representation or warranty, express or implied, as to its accuracy, completeness, or timeliness. Readers should conduct their own independent diligence and consult appropriate professional advisers before engaging any advisor, intermediary, investor, lender, acquirer, or other transaction counterparty.
Broker-dealer and securities disclosure
Auxo Capital Advisors is an affiliate of Weild & Co., Member FINRA | SIPC. Securities-related activities and securities transactions are conducted through Weild & Co.
Nothing contained on this page constitutes an offer to sell, an offer to purchase, or a solicitation of an offer to buy or sell any security, investment product, or financial instrument. Nothing on this page constitutes investment advice, a recommendation regarding any security, or a recommendation to enter into any transaction with the profiled firm or any other party.
Any securities transaction, capital-raising engagement, investment-banking engagement, or other securities-related activity involving Auxo Capital Advisors or Weild & Co. is subject to applicable regulatory requirements, internal review and approval, suitability and other applicable diligence requirements, and the terms of a separate written engagement or transaction agreement, as applicable.
Inclusion of a third-party firm in this directory does not imply affiliation with, sponsorship by, endorsement by, or any other relationship with Auxo Capital Advisors or Weild & Co. unless expressly stated otherwise.