Sustainability

Helping Clients Access Capital and Execute Transactions

Roth’s sustainability banking team assists growth oriented companies achieve their strategic and financial goals. We combine leading capital markets departments with deep industry knowledge to offer a wide range of strategic advisory and capital raising services, including initial public offerings, follow-on offerings, PIPEs, convertible debt, private placements, and M&A advisory.   

We define sustainability as those technologies and business models that improve societies’ utilization of natural resources to support global economic growth, while minimizing environmental impacts. Within this broad definition, our Sustainability banking team is particularly focused on those companies with technologies that provide solutions to global energy and environmental challenges.

Investment Banking

Sector Focus

  • Advanced Materials
  • Clean Fuels & Green Chemistries
  • eMobility
  • Smart Cities
  • Environmental: Water, Waste, Recycling & Agtech
  • Solar &Wind

Investment Banking Team

Brian Kremer

Managing Director, Investment Banking

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Jesse Pichel

Managing Director, Investment Banking

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Robert Stephenson

Managing Director, Investment Banking

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Scott Bronson

Vice President, Investment Banking

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Select Transactions

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$65,000,000

US Hybrid

was acquired by

M&A Advisory

Financial Advisor June 2021

$575,000,000

Sunnova

Convertible Debt

Co-Manager May 2021

$129,375,000

DMC Global Inc.

Follow-On

Co-Manager May 2021

$257,920,000

FTC Solar

IPO

Co-Manager April 2021

$1,500,000

Giga-tronics Incorporated

PIPE

Sole Placement Agent April 2021

$131,600,000

Nuvve Holdings Corp.

has merged with

Newborn Acquisition Corp.

M&A Advisory

Financial Advisor March 2021

$150,000,000

Ideanomics

ATM Program

Lead Placement Agent February 2021

$100,000,000

Electrameccanica

ATM Program

Co-Placement Agent February 2021

Research

Our research is the foundation of our firm and key to our understanding of the small-cap sector. This research, when combined with our seasoned institutional sales team and our highly visible investor conferences, creates an unparalleled institutional sponsorship platform for growth companies.

At a Glance

77

Covered Companies

4

Analysts

Research Team

Craig Irwin

Managing Director, Senior Research Analyst

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Philip Shen

Managing Director, Senior Research Analyst

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Gerard "Gerry" Sweeney

Managing Director, Senior Research Analyst

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Justin Clare, CFA

Director, Research Analyst

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