ROTH Institutional Sales

Institutional Sales & Trading

Institutional Sales

ROTH’s Institutional Sales Team services institutional portfolio managers for mutual funds, hedge funds and registered investment advisors. We have long-standing relationships with many of the top small-cap portfolio managers.

Our team is comprised of knowledge and expertise in the small-cap and micro-cap markets including, diversified backgrounds with experience in corporate finance, research and operations. Because we are intensely focused on small cap companies, our sales team seeks to truly understand our investment recommendations by partnering with our research team to understand macro and micro trends. They also personally know the management teams of the companies we cover.


ROTH’s Trading Team consists of experienced market makers and sales traders that pride themselves on creating liquidity in illiquid markets. We provide timely and efficient execution of transactions in both Listed and NASDAQ issues.

Trading Activities includes execution of:

  • Institutional Orders

  • Block Trades

  • Rule 144 Transactions

  • Corporate Buybacks

  • Retail Orders

For additional information, please contact:

Philip DiNapoli
Director of Trading and Head of Institutional Sales

  • Trading Desk: 800-200-2788

  • Sales Team: 800-933-6820

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