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

Robert Stephenson

Managing Director, Investment Banking

Jesse Pichel

Managing Director, Investment Banking

Scott Bronson

Vice President, Investment Banking

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US Hybrid

was acquired by

M&A Advisory

Financial Advisor June 2021



Convertible Debt

Co-Manager May 2021


DMC Global Inc.


Co-Manager May 2021


FTC Solar


Co-Manager April 2021


Giga-tronics Incorporated


Sole Placement Agent April 2021


Nuvve Holdings Corp.

has merged with

Newborn Acquisition Corp.

M&A Advisory

Financial Advisor March 2021



ATM Program

Sole Agent February 2021



ATM Program

Agent February 2021


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.

Research Team

Justin Clare, CFA

Managing Director, Senior Research Analyst

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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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