Investment Banking

We’re Invested in Your Reaching Financial Success

Our Investment Banking Team is committed to identifying and financing growth companies to propel them into becoming tomorrow’s market leaders. The wide variety of exclusive financial advisory services that we offer include ready access to the capital markets.

Equity Capital Markets

Our Equity Capital Markets (“ECM”) team is responsible for the marketing, distribution and pricing of all lead-managed and co-managed equity offerings. Our clients benefit from our team’s extensive experience in providing advice on market receptivity, valuation, timing and structure of equity offerings.

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  • Initial Public Offerings
  • Follow-On Offerings
  • Secondary Offerings
  • Private Placements
  • ATMs (At-the-Market Offerings)

Debt Capital Markets

Our Debt Capital Markets team provides advisory services and full-service placement departments to our client’s liquidity and financing objectives to help with obtaining debt capital, as well as optimizing their capital structure.

Our Debt Capital Markets team specializes in raising all types of non-equity capital for transactions such as traditional refinancings, leveraged acquisitions, recapitalizations and restructurings, as well as the following types of capital:

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  • Senior Debt
  • Junior-Secured / 2nd Lien
  • Mezzanine
  • Convertible Debt
  • Bridge Financings

Mergers & Acquisitions

Our M&A Advisory Group provides strategic and financial advisory services to emerging growth companies across a broad range of industries. Our expertise in raising capital in conjunction with strategic developments differentiates us within the middle market industry.

Our team is committed to providing hands-on, executive-level expertise and resources whether it be growing through a strategic acquisition or redeploying capital through a divestiture. Our relationship with clients doesn’t end at closing, in fact, we continually work to identify and execute the next strategic move.

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  • Acquisitions
  • Divestitures
  • Mergers
  • Defensive Advisory
  • Company Sale
  • Special Committee Advisory
  • Fairness Opinions

Key Accomplishments

50

A team of 50 professionals with significant transaction and industry expertise.

$77.5B

Raised over $77.5 billion for small-cap companies since 1992.

350

Completed over 350 merger, acquisition and advisory assignments.

Sectors

Business Services

Our Business Services Investment Banking Team offers a full array of investment banking services including merger and acquisition advisory, equity and debt capital raising, and more.

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Consumer

Our Consumer Investment Banking Team focuses exclusively on consumer businesses, having cultivated an effective network of investors, companies and senior industry executives.

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Energy

Our Energy Investment Banking Team has over 20 years of domestic and international industry experience and offers a full array of investment banking services.

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Healthcare

Our Healthcare Investment banking Team assists in evaluating acquisition opportunities, licenses and strategic partnerships to accelerate growth and enhance shareholder value.

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Industrial Growth

Our Industrial Growth companies are comprised of the following sub-sectors: Automotive, Energy infrastructure and equipment, Manufacturing and process technologies and Real Estate and REITs. Two ROTH analysts are dedicated to this sector.

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Metals & Mining

Our Metals & Mining Investment Banking Team provides a full array of investment banking services and expertise to both public and private junior mining companies throughout the world.

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Technology & Media

Our Technology & Media Investment Banking Team team brings expertise in capital transactions and advisory services to emerging leaders in the Technology & Media sector.

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Sustainability

Our Sustainability Investment Banking Team assists growth oriented companies achieve their strategic and financial goals.

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Transactions

Dedicated to the Long-Term Success of Clients

We have a proud history of providing sponsorship to growth-oriented companies, both private and public, across a broad range of industries. Since 1992, we have completed approximately 350 merger, acquisition and advisory assignments.

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Our Investment Banking Team

At Roth, every client receives a dedicated senior banker who will assist from the inception of a deal to close.

James Antonopoulos

Managing Director & Head of Healthcare Investment Banking

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Hershel Gerson

Managing Director & Co-Head of Consumer Investment Banking

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Paul Zaffaroni

Managing Director & Co-Head of Consumer Investment Banking

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Joseph "J." Barry

Managing Director, Investment Banking

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John Boris

Managing Director, Investment Banking

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Benjamin Bowen

Managing Director, Investment Banking

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Michael Chill

Managing Director, Investment Banking

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Matthew Day

Managing Director, Investment Banking

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Dave Donohoe, Jr.

Managing Director, Investment Banking

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David Enzer

Managing Director, Investment Banking

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David Farina, CFA

Managing Director, Investment Banking

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Greg Giebel

Managing Director, Investment Banking

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Gregory Kouvelas

Managing Director, Investment Banking

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Brian Kremer

Managing Director, Investment Banking

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Al Longfield, CFA

Managing Director, Investment Banking

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Gerald L. Mars

Managing Director, Investment Banking

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Alexander Montano

Managing Director, Investment Banking

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Russ Nudelman

Managing Director, Investment Banking

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Jesse Pichel

Managing Director, Investment Banking

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Ivan Saval

Managing Director, Investment Banking

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Robert Stephenson

Managing Director, Investment Banking

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Jonathan Alyn

Director, Investment Banking

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Otilia "Tilin" Chen

Director, Investment Banking

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Jacob Frank

Director, Investment Banking

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Adam Roth

Director, Investment Banking

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Aparna Beeram

Vice President, Investment Banking

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Dustin F. Cabrera

Vice President, Investment Banking

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Robert Reid

Senior Vice President, Investment Banking

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Scott Bronson

Vice President, Investment Banking

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Our Capital Markets Team

Michael Starzan

Managing Director, Technology Equity Capital Markets

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Lou Ellis

Senior Vice President, Equity Capital Markets

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Annie Siegel

Roadshow Coordinator

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