Fundraisers / Roth Capital Partners, LLC

FundraiserRegistered broker-dealer

Roth Capital Partners, LLC

FINRA 15407 · placing rounds since Jan 2016

99company rounds placed
13in the last two years, last Mar 2026
$1.1Bsold in the rounds they placed
6.0%typical commission; the median firm takes 4.9%

Named on 99 Form D filings as paid to sell the offering: 99 for operating companies. 5 registered agents named.

Quarter by quarter

Company rounds they placed in each quarter, from the filings.

523Q2223Q3223Q4324Q1324Q2624Q3224Q4225Q1125Q2225Q3325Q4326Q1

What they place

122rounds
  • Biotechnology26%
  • Pharmaceuticals20%
  • Other18%
  • Other Health Care12%
  • Other Technology11%
  • Other Energy7%
  • Telecommunications4%

How big the rounds are

  1. Under $1M8
  2. $1M to $5M42
  3. $5M to $20M47
  4. $20M to $100M16
  5. $100M+1

Where the companies are

CA25NY11FL10CO8MA8TX6NJ4CT4

Rounds they placed

Company roundsEverything, funds and real estate too

FiledIssuerIndustrySold
Mar 2026SS Innovations International, Inc.Biotechnology$19M
Mar 2026Bunker Hill Mining Corp.Other$21M
Feb 2026Brazil Potash Corp.Other$28M
Nov 2025Allurion Technologies, Inc.Other Health Care$5.0M
Nov 2025Smith Micro Software, Inc.Telecommunications-
Nov 2025MultiSensor AI Holdings, Inc.Other Technology$14M
Aug 2025Heritage Distilling Holding Company, Inc.Other$224M
Aug 2025Igniton, Inc.Other Health Care$6.0M
May 2025DeFi Development Corp.Other Banking and Financial Services$24M
Feb 2025Allurion Technologies, Inc.Other Health Care$7.4M
Jan 2025Helius Medical Technologies, Inc.Other Health Care$3.7M
Oct 2024Powerfleet, Inc.Other Technology$70M
Oct 2024Smith Micro Software, Inc.Telecommunications-
Sept 2024Vaccinex, Inc.Pharmaceuticals$200k
Aug 2024Tenax Therapeutics, Inc.Pharmaceuticals$100M
Aug 2024G2 Goldfields Inc.Agents: ROTH CANADA, INCOther$9.4M
Aug 2024Nuwellis, Inc.Other Health Care-
Jul 2024MultiSensor AI Holdings, Inc.Other Technology$15M
Jul 2024iPower Inc.Other-
May 2024Seelos Therapeutics, Inc.Biotechnology-
May 2024Smith Micro Software, Inc.Telecommunications-
May 2024Western Alaska Minerals Corp.Agents: Roth Canada, Inc.Other$554k
Mar 2024Biofrontera Inc.Pharmaceuticals$8.0M
Feb 2024SpringBig Holdings, Inc.Other Technology$8.0M
Jan 2024Panbela Therapeutics, Inc.Pharmaceuticals$2.0M
Dec 2023Tudor Gold Corp.Other$369k
Nov 2023Panbela Therapeutics, Inc.Pharmaceuticals$3.3M
Sept 2023First Wave BioPharma, Inc.Biotechnology$1.5M
Aug 2023Nautilus, Inc.Other-
Jun 2023First Wave BioPharma, Inc.Biotechnology$431k
Jun 2023Zyus Life Sciences Inc.Other Health Care$1.1M
May 2023Molekule Group, Inc.Other Health Care$10.0M
May 2023Digital Health Acquisition Corp.Other$300k
Apr 2023Bunker Hill Mining Corp.Other$1.9M
Mar 2023Delcath Systems, Inc.Biotechnology$25M
Mar 2023First Wave BioPharma, Inc.Biotechnology$4.0M
Feb 2023Vision Marine Technologies Inc.Other-
Feb 2023Vision Marine Technologies Inc.Other-
Nov 2022Bio-Path Holdings IncBiotechnology$2.3M
Jul 2022Versus Systems Inc.Other Technology-

From the SEC's Form D data sets: the issuer named this firm as paid to sell the offering. The latest 40 shown.

Often on the same rounds

Other fundraisers named on the same filings: the firms they syndicate with.

H.C. Wainwright & Co., LLC5 rounds togetherMaxim Group, LLC5 rounds togetherThe Benchmark Company, LLC4 rounds togetherCanaccord Genuity LLC4 rounds togetherCraig-Hallum Capital Group LLC3 rounds togetherEaton Partners LLC2 rounds together

Founders who worked with them

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