Roth Capital Partners Strengthens Equity Capital Markets with Appointment of Seth Appel

Roth Capital Partners has appointed Seth Appel as head of ATM and equity alternatives banking, bringing more than 30 years of capital markets experience to expand the firm’s equity capital markets capabilities and support growth companies in raising capital. In connection with the appointment, Appel will also serve as co-chief investment officer of the RoHo Capital Opportunities Fund, a joint venture with Horizon Technology Finance Corporation (NASDAQ: HRZN), focused on providing debt financing solutions to small- and micro-cap public companies.

The appointment signals Roth’s commitment to strengthening its position in the equity capital markets sector, particularly in alternative financing solutions. ATM (at-the-market) offerings have become increasingly important for public companies seeking to raise capital efficiently without the volatility associated with traditional follow-on offerings. By appointing an experienced professional like Appel, Roth aims to enhance its service offerings for growth companies navigating complex capital markets environments.

The dual role Appel assumes connects Roth’s equity capital markets expertise with debt financing solutions through the RoHo Capital Opportunities Fund. This strategic alignment allows the firm to provide comprehensive financial solutions to small- and micro-cap companies that often face challenges accessing traditional financing channels. The joint venture with Horizon Technology Finance Corporation leverages both firms’ specialized knowledge in serving the unique needs of emerging growth companies.

Roth’s expanded capabilities come at a time when market conditions require sophisticated approaches to capital raising. The firm’s full-service platform provides capital raising, high-impact equity research, macroeconomics, sales and trading, technical insights, derivatives strategies, M&A advisory, and corporate access services. The addition of Appel’s expertise in ATM and equity alternatives banking complements these existing services and strengthens Roth’s value proposition to both corporate clients and investors.

For more information on Roth, please visit https://www.roth.com. The press release announcing this appointment is available at https://ibn.fm/Mxqo7.

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