# Roth Capital Partners, LLC

> 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.

- CRD: 15407
- Filed as: ROTH CAPITAL PARTNERS, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Newport Beach, CA
- Filing period: October 2026
- Form ADV filing dated: August 29, 2025
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/15407
- AdvisorCensus page: https://advisorcensus.com/firm/roth-capital-partners-llc-newport-beach-ca-15407

## Quick answers

**How is Roth Capital Partners, LLC compensated?**
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.

**Where is Roth Capital Partners, LLC located?**
Roth Capital Partners, LLC's principal office is in Newport Beach, CA, according to its Form ADV.

**Is Roth Capital Partners, LLC registered with the SEC or a state?**
Roth Capital Partners, LLC is a state-registered investment advisory firm, registered since 2001. Status as filed: APPROVED. CRD 15407.

**What types of clients does Roth Capital Partners, LLC serve?**
By number of clients on Form ADV Item 5.D: other investment advisers (40); investment companies (30).

**Does Roth Capital Partners, LLC report any disciplinary disclosures?**
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

## From the Form ADV filing

### Compensation (Item 5.E)
- Fixed fees (other than subscription fees)

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | Fewer than 5 | Not reported |
| Investment companies | 30 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Other investment advisers | 40 | Not reported |
| Other | Not reported | $0 |

### Advisory services (Item 5.G)
- Other

### Firm details
- Registered since: 2001 (25 years)
- Employees: 10 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): 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?
- 11.E(2): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/15407

### Websites listed on Form ADV (Item 1.I)
- roth.com
- Facebook @RothCapitalPartners

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Roth Capital Partners, LLC (CRD 15407): Form ADV filing data as of October 2026.