# Roth Capital Partners

Roth Capital Partners is an Asset Manager based in Newport Beach, United States.

## Overview

- **Organization type:** Asset Manager
- **Headquarters:** Newport Beach, United States
- **Region:** North America
- **Address:** Newport Beach, CA, United States
- **Assets under management:** Undisclosed
- **Website:** rothcapital.com
- **LinkedIn:** https://www.linkedin.com/company/rothcapitalpartners

## Regulatory record

- **CRD number:** 15407
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/15407

## About

Roth Capital Partners is a state-registered investment adviser in Newport Beach, CA. It has 10 employees and 5 investment advisers. The firm focuses on investment banking and research.

## Sectors

- Healthcare
- Technology
- Consumer
- Energy
- Financial Services

## Offices

- San Diego
- Brentwood
- San Francisco
- Menlo Park
- Jackson
- Seattle
- Palo Alto

## 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.

### 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.

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Last updated: 2026-06-03T20:00:00.000Z

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