{
  "crd_number": 15407,
  "slug": "roth-capital-partners-llc-newport-beach-ca-15407",
  "primary_business_name": "ROTH CAPITAL PARTNERS, LLC",
  "legal_name": "ROTH CAPITAL PARTNERS, LLC",
  "dbas": [],
  "city": "Newport Beach",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "31080",
  "metro": {
    "cbsa_code": "31080",
    "common_name": "Los Angeles",
    "msa_name": "Los Angeles-Long Beach-Anaheim, CA",
    "path": "/advisors/ca/los-angeles"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2001-05-07",
  "years_registered": 25,
  "period": "2026-10-01",
  "filing_date": "2025-08-29",
  "carried_forward": false,
  "raum_total": null,
  "raum_discretionary": null,
  "raum_non_discretionary": null,
  "raum_band": "not_reported",
  "raum_band_label": "Not reported",
  "total_employees": 10,
  "advisory_employees": 5,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": null
    },
    "investment_companies": {
      "raum": null,
      "count": 30
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 40
    },
    "high_net_worth_individuals": {
      "raum": null,
      "count": null,
      "fewer_than_5": true
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed"
  ],
  "advisory_activities": [
    "other"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "CA",
    "FL"
  ],
  "websites": [
    "https://facebook.com/RothCapitalPartners",
    "https://roth.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/15407",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "NEWPORT BEACH",
  "url": "https://advisorcensus.com/firm/roth-capital-partners-llc-newport-beach-ca-15407",
  "display_name": "Roth Capital Partners, LLC",
  "summary": "Roth Capital Partners, LLC is a state-registered investment advisory firm in Newport Beach, CA, registered since 2001, with no regulatory assets under management reported in its Form ADV filing dated August 29, 2025.",
  "citation": "AdvisorCensus. Roth Capital Partners, LLC (CRD 15407): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Roth Capital Partners, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Roth Capital Partners, LLC reports these compensation arrangements: fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Roth Capital Partners, LLC located?",
      "a": "Roth Capital Partners, LLC's principal office is in Newport Beach, CA, according to its Form ADV."
    },
    {
      "q": "Is Roth Capital Partners, LLC registered with the SEC or a state?",
      "a": "Roth Capital Partners, LLC is a state-registered investment advisory firm, registered since 2001. Status as filed: APPROVED. CRD 15407."
    },
    {
      "q": "What types of clients does Roth Capital Partners, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: other investment advisers (40); investment companies (30)."
    },
    {
      "q": "Does Roth Capital Partners, LLC report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/15407"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/roth-capital-partners-llc-newport-beach-ca-15407.md",
  "clients": [
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": null,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 30,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 40,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other",
      "label": "Other",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/15407",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}