Inside ROTH: Recaps One of the Best Small-Cap Investment Conferences on Wall Street

Equities Editors Desk |


Each year, ROTH Capital Partners hosts one of the crown jewel events in the financial industry, and this year was no different. The 27th Annual ROTH Conference, held at the Ritz Carlton in Dana Point, CA was undoubtedly one of the biggest and best gatherings in the history of the conference. The event featured well over 500 public and private companies meeting over 3,600 attendees for productive deal-making and opportunity discovery.

In some ways, this year’s event was a celebration of the major recovery in the small-cap market. With IPOs returning to pre-recession levels and deal-flow opening up as result of the JOBS Act.

As a premier investment bank emphasizing in the small-cap space, ROTH Capital Partners—the conference’s host—has been at the forefront of the comeback. The firm raised about $350 million in proceeds in 2014 through its participation in eight IPOs, and grew its coverage universe in the Healthcare, Cleantech & New Industrials, Resources and Technology sectors.

Industries of all types were well-represented at the ROTH Conference, with exciting companies that ranged from household names like Denny's Corp. (DENN), Pandora Media, Inc. (P), and Build-a-Bear Workshop, Inc. (BBW) to emerging innovators and under-covered names like Identiv, Inc. (INVE), Novatel Wireless, Inc. (MIFI), NV5 Holdings, Inc. (NVEEand much, much more. There is arguably no stronger testament to the level of investor interest at the event than the over-5,500 company meetings scheduled over the course of the conference.

Compelling Industry Leadership and Discussions

There were also numerous industry panels featuring widely recognized experts to discuss some of the most pertinent issues affecting many of the more exciting emerging sectors of the financial markets and economic growth.


ROTH_Meetings.jpg ROTH_Presentation.jpg Tom_Ridge_ROTH_1.jpg
One-on-one meeting at ROTH. Byron Roth kicks off the conference. Tom Ridge delivers keynote.

The keynote was delivered by Martin E. Franklin: Founder and Executive Chairman of Jarden Corporation, and a special presentation on "Managing Risk Before It Manages You", by former Pennsylvania Governor Thomas J. Ridge, who also served as the Secretary of U.S. Department of Homeland Security from 2003 to 2005.

Many of the presentations were tailored for investors as well as corporate executives on the best practices of leading a successful public company. Panels included the M&A Market Outlook, “Shock & Awe”, The Impact of Lower Oil Prices, Latest Trends in the Solar Industry, Shareholder Activism, IPO Readiness, Building Your Brand in 2015, and Uplisting to a US National Exchange.

There were also panels specifically for those interested in the venture capital space like “Inside the Growth Tornado” and "#SiliconValley”.

Not Your Typical Investment Conference



One of the signature hallmarks of the ROTH Conference each year is the incredible headline performances and recreational events that surround the main sessions of the conference. The added festivities provide an incredibly well-balanced offering of experiences that is really unmatched by any other event in the industry.

This year, attendees rocked out to heavy metal legends Poison and current chart-topper Fall Out Boy for the evening entertainment.

More importantly, ROTH kicked off the event by hosting ROTH Ride 2015, a fully supported group ride on the California coastline to raise proceeds for the Challenged Athletes Foundation. The ride attracted 40 riders and 100 spinners, raising $25,000 for the foundation, and bringing the firm’s combined total to nearly $300,000 raised for CAF.



ROTH Presenting Company Presentations

While was on location filming interviews with many of the exciting companies that presented the conference, ROTH has also made webcasts of the presentations online for those who missed them or are interested in watching them again.

Click here to watch’s ROTH interview, and click here for webcasts of ROTH Conference presentations.

DISCLOSURE: The views and opinions expressed in this article are those of the authors, and do not represent the views of Readers should not consider statements made by the author as formal recommendations and should consult their financial advisor before making any investment decisions. To read our full disclosure, please go to:


Symbol Name Price Change % Volume
BBW Build-A-Bear Workshop Inc. 10.85 0.20 1.88 63,035
DENN Denny\'s Corporation 10.44 0.07 0.68 325,337
INVE Identiv Inc. 2.06 0.02 0.98 26,074
MIFI Novatel Wireless Inc. 2.84 0.01 0.35 33,506
NVEE NV5 Global Inc. 28.89 -0.24 -0.82 65,793
P Pandora Media Inc. 12.64 -0.18 -1.40 4,596,196


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