ROTH CAPITAL PARTNERS GP, LLC
CRD #113757 SEC #801-60425 NEWPORT BEACH, CA 949-720-5700
SEC Registered
Total AUM
--
Discretionary
--
Employees
--
Clients
0
Accounts
--
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 16, 2001
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALLEN, PATRICK, JOSEPH | I | PRESIDENT | NA | Control |
| KRAUS, ARNOLD, HINSDALE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| MCGUINNESS, VINCENT, JAMES | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| ROTH, BYRON, CLARENCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| ROTH, GORDON, JAMES | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SCHIMMELPFENNIG, JOSEPH, PAUL | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| ROTH CAPITAL PARTNERS, LLC | DE | MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CR FINANCIAL HOLDING CORP. | DE | ROTH CAPITAL PARTNERS, INC. | E | Control |
| BMR 2000 TRUST DTD 2/8/2000 | DE | CR FINANCIAL HOLDING CORP. | D | Control |
| ROTH CAPITAL PARTNERS, INC. | DE | ROTH CAPITAL PARTNERS, LLC | D | Control |
| HEHN, DAVID, B. | I | BMR 2000 TRUST DTD 2/8/2000 | C | Control |
| ROTH, BYRON, CLARENCE | I | BMR 2000 TRUST DTD 2/8/2000 | C | Control |
| ROTH, MICHELLE, E. | I | BMR 2000 TRUST DTD 2/8/2000 | C | Control |
Registrations
Federal
IA
Jul 16, 2001 REGISTERED
Notice Filings (1)
CA
Address
24 CORPORATE PLAZANEWPORT BEACH, CA 92660
USA
Phone: 949-720-5700