Our Values-based Approach to Investment Banking

Roth is a privately-owned investment banking firm with a premier suite of business lines ranging from M&A, financing, restructuring, advisory, and corporate services. With our recent acquisition of MKM Partners, an institutional equity trading, sales, and research firm, we have added a full-service platform that fuses high-impact fundamental analysis with macroeconomics, technical insights, derivatives strategies, event-driven commentary, alternative research, and first-rate execution. Together, we strive to produce innovative, actionable, and proprietary content for our clients, while being part of the lifecycle of the companies we service. Our track record of success is driven by our workforce, many of whom have been with us for more than 20 years.

Headquartered in Newport Beach, CA, and with our global trading floor in Stamford, CT, we treat our employees and clients like family. Our culture is based on valuing individual talents and finding ways that we can work together as well as build on everyone’s strengths. Welcome to Roth!

Roth at a Glance

Relationship Oriented

Relationship Oriented

As an employee-owned firm, we understand the importance of relationships.  We know that our clients depend on us to efficiently execute the transactions that they engage us to assist, and how that can contribute to future opportunities.  Our research coverage provides our client companies and investors an independent platform to dig deeper into each others business.  And our conferences and corporate access allow our clients and friends to meet each other on personal and business levels. 

Reliability in Financing and Advising Growth Companies

Reliability in Financing and Advising Growth Companies

We have raised over $60 billion for small-cap public companies since 1992. Our equity capital markets group has demonstrated the dedication and expertise to execute different transactions in a timely manner in a variety of sectors. Our investment banking services including IPOs, Follow-ons, Secondary Sales, Private Placements, ATMs and M&A Advisory.

Our domain expertise is in Business Services, Consumer, Healthcare, Industrial Growth, Resources, Sustainability, and Technology & Media.

A Tested and True Approach to Mergers and Acquisitions

A Tested and True Approach to Mergers and Acquisitions

Our advisory services to private and public companies include acquisitions, divestitures, fairness opinions and shareholder actions. We have completed over 400 merger, acquisitions and advisory assignments since 1992.

A Solid Institutional Sponsorship Platform for Growth Companies

A Solid Institutional Sponsorship Platform for Growth Companies

Our long-standing relationships with institutional accounts, along with our broad institutional coverage with investors in the US, Canada, United Kingdom, Europe and other international territories, provide a solid coverage base to introduce growth-oriented companies. We have roughly 70 distribution professionals who maintain a daily dialogue with top growth portfolio managers.

Our team is comfortable in creating liquidity in illiquid markets: Market Maker in over 275 stocks1.

Corporate Access Bringing Together Company Executives & Institutional Investors

Corporate Access Bringing Together Company Executives & Institutional Investors

We conduct more than 500 deal and non-deal roadshows every year. Our experienced team knows how to deliver excellent corporate access events, with the annual ROTH Conference being one of the largest in the nation for growth companies.

Fast Facts




Raised for small-cap public companies since 19921.


Merger, acquisitions, advisory assignments since 19921.


Deal and non-deal events every year.


Deals done with companies across a variety of sectors since 1992.

1 As of November 2, 2023

Relationships that Go Beyond Business

We believe in giving back to the community in which we live. From fundraising to volunteerism, we play an active role in supporting various charitable causes and organizations.

View Our Philanthropic Efforts
Our Experienced and Successful Team

Our Experienced and Successful Team

Roth is led by a seasoned team with multiple accomplishments. We believe that by fostering innovation and creativity within the company, we can create an unparalleled institutional sponsorship platform for growth companies. 

Meet Our Team