Bio

Seth Appel serves as Head of ATM & Equity Alternatives Banking at Roth. He brings over 30 years of capital markets experience, with a focus on helping growth companies raise capital efficiently and creatively. In this role, Mr. Appel is responsible for expanding Roth’s capabilities across equity capital markets.

In addition, Mr. Appel serves as Co-Chief Investment Officer of the RoHo Capital Opportunities Fund, a newly formed joint venture between Horizon Technology Finance Corporation (NASDAQ: HRZN), an affiliate of Monroe Capital, and CR Financial Holdings, Inc., the holding company for Roth. The fund is focused on providing debt financing solutions to small- and micro-cap public companies.

Over the course of his career, Mr. Appel has completed hundreds of transactions, raising more than $25 billion for clients across a wide range of industries. Prior to joining Roth, he served as a Senior Managing Director at B. Riley Securities, Inc. and its predecessor firms, Friedman Billings Ramsey (“FBR”) and MLV & Co. LLC. Earlier in his career, Mr. Appel was Vice President of Listed Trading at Knight Capital Markets, where he spent six years as a listed trader and NASDAQ market maker, deploying firm capital to facilitate transactions for both retail and institutional investors.

Mr. Appel began his career as a public accountant with Arthur Andersen & Co. He is a Certified Public Accountant and holds a Bachelor of Science in Accountancy from The George Washington University and an M.B.A. in Finance and International Business from the New York University Stern School of Business.