Roth Capital Partners is an investment banking and brokerage firm headquartered in Newport Beach, California, registered with the Securities and Exchange Commission as a broker-dealer and with the State of California as a registered investment advisor. Roth Capital Partners primarily serves institutional clients by providing financing, advisory services, and research reports. For individual investors, Roth Capital Partners offers access to third-party wealth management products through solicitation and referral arrangements. The firm also operates as a broker-dealer, executing trades and offering various securities, mutual funds, and private placement investments. Roth Capital Partners maintains affiliations with several investment entities and funds through its parent company, CR Financial Holdings.
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.