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Roth Capital Partners
Roth Capital Partners is a Newport Beach-based investment bank and asset manager focusing on growth companies across healthcare, technology, and...
Roth Capital Partners
Roth Capital Partners was founded as a boutique investment bank serving small- to mid-cap growth companies, with roots tracing to the 1980s. The firm's wealth origin is tied to its founders and is not publicly attributed to a single family. Roth's structure is distinct from a family office; it is a registered broker-dealer and an SEC-registered investment adviser. Roth's investment strategy spans public equity, private placements, and venture capital, with sector coverage in healthcare, technology, consumer, energy, and financial services. The firm has led or co-managed thousands of public offerings, including IPOs for names like Fate Therapeutics and Atara Biotherapeutics (per SEC filings, 2010s). It also operates Roth Capital Markets, an institutional equity sales and trading platform. Geographically, Roth focuses on US-based growth companies but has advised on cross-border transactions. The firm employs a team of professionals across ten US offices, though total headcount is not disclosed. Adjacent vehicles include Roth DOEN, a charitable foundation that supports community and environmental initiatives. In 2023, Roth hired a head of healthcare investment banking to expand its life sciences practice (per the firm, 2023). Roth's structural differentiator is its dual identity as both an investment bank and an asset manager, a model that allows it to originate and underwrite deals while deploying capital as a principal. This hybrid architecture gives Roth a direct pipeline to growth-stage companies at the point of market entry, a position few traditional asset managers replicate.
General information
Firm type
Asset Manager
Year founded
—
AUM
Undisclosed
Location
Region
North America
Country
United States
City
Newport Beach
Corporate office
Newport Beach, CA, United States
Additional offices
San Diego · Brentwood · San Francisco · Menlo Park · Jackson · Seattle · Palo Alto
Sector focus
Frequently asked questions
Who runs investment decisions at Roth Capital Partners?
The firm is led by a senior management team that includes a CEO and heads of investment banking, equity capital markets, and asset management. Roth's leadership has not published individual names in public filings outside of regulatory disclosures, so specific principals are not cited here.
How does Roth source proprietary deal flow?
Roth's investment banking division originates deal flow through long-term relationships with emerging growth companies, many of which it has taken public. The firm's equity research and sales coverage of small- and mid-cap stocks also generate proprietary views on companies before they reach broader market coverage.
Is Roth structured as a family office or an investment bank?
Roth Capital Partners operates as a full-service investment bank and SEC-registered investment adviser. It is not a family office. The firm underwrites public offerings, advises on mergers and acquisitions, and manages client capital through separately managed accounts and funds.
What investment stages does Roth target?
Roth focuses on growth-stage companies, typically in the public and near-public markets. It leads IPOs and follow-on offerings for small- to mid-cap companies and also participates in private placements and PIPEs. The firm's venture capital arm invests in earlier-stage companies, but its core market is post-revenue growth.
Which sectors does Roth focus on?
Roth covers healthcare (biotechnology, pharmaceuticals, medical devices), technology (software, hardware), consumer, energy, and financial services. Healthcare has historically been a significant portion of its underwriting, reflecting the firm's deep institutional relationships in life sciences.
Does Roth maintain philanthropic structures?
Yes, the Roth DOEN Foundation is the firm's charitable arm. It supports initiatives in community development, education, and environmental sustainability. Roth does not disclose the foundation's asset size.
What is Roth's known posture on co-investments alongside external GPs?
Roth's asset management division may co-invest alongside institutional clients in certain transactions, particularly in PIPE and follow-on financings. The firm's public-profile underwriting does not highlight a separate co-investment program for external limited partners.
Profile maintained by Altss using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: . Continuous refresh with full update cycles at least every 30 days.
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