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Roth Capital Partners, LLC

Roth Capital Partners, LLC is a broker-dealer with 120 financial professionals registered in CA. The firm's primary clients are High Net Worth Individuals, Individuals and Corporations or Other Businesses.

Advisors (120)

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Name Start Date
Aaron Damon Nelson Jun 1998
Aaron Michael Gurewitz Sep 1999
Adam Krejcik Jul 2006
Adam Nicholas Roth Mar 2004
Albert Robb Longfield Apr 2009
View All
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

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$35.1M
Total Assets
26
Accounts
$1.4M
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

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ownership pie chart
  •   Cr Financial Holdings, Inc. (75% or more)
  •   Executives with less than 5% share each

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

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Name Title Tenure Date
Nazan Akdeniz Rosfp 06/01/2008
Byron Clarence Roth Chairman/Ceo/Manager 02/01/2001
Richard L Platt General Counsel 12/01/1997
Gordon James Roth Chief Financial Officer/Finop/Manager 03/01/2009
Jonathan Andrew Mork Manager 02/01/2001

Affiliated Investment Advisors and Broker Dealers

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No firm affiliates listed.

Principal Office & Place of Business

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Principal Office

Address:
888 San Clemente Drive
Newport Beach , CA 92660
Phone Number: 949-720-5700

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets