| Sep'19 | Sep'18 | Sep'17 | Sep'16 | Sep'15 | Sep'14 | Sep'13 | Sep'12 | Sep'11 | Sep'10 |
|---|---|---|---|---|---|---|---|---|---|
CASH FLOWS FROM OPERATING ACTIVITIES | |||||||||
Net Income (Loss), Including Portion Attributable to Noncontrolling Interest | |||||||||
1,841 | -11,510 | 12,528 | - | - | - | - | - | - | - |
Net Income (Loss) Attributable to Parent | |||||||||
- | - | - | -5,559 | 285 | 18,643 | 1,565 | -1,951 | -4,713 | -6,635 |
Adjustments to reconcile net income (loss) to net cash (used in) provided by operating activities | |||||||||
Fair Value Adjustment of Warrants | |||||||||
0 | 11,194 | -8,458 | 0 | 0 | - | - | - | - | - |
Depreciation and amortization | |||||||||
1,832 | 1,551 | 1,229 | 1,213 | 1,127 | 1,136 | 922 | 1,154 | 1,254 | 1,348 |
Amortization of forgivable loans | |||||||||
680 | 630 | 693 | 788 | 538 | 243 | 349 | 265 | 392 | - |
Stock-based compensation | |||||||||
4,282 | 2,913 | 602 | 211 | 590 | 1,124 | - | - | - | - |
Amortization of deferred financing costs | |||||||||
- | - | - | - | - | - | - | - | - | 28 |
Amortization of note discount | |||||||||
- | - | - | - | - | - | - | 247 | 395 | 394 |
Fair value of options | |||||||||
- | - | - | - | - | - | - | - | -265 | -532 |
Provision (recovery) for doubtful accounts | |||||||||
- | 5 | - | 162 | 237 | 323 | -96 | -201 | -14 | - |
Provision (recovery) for doubtful accounts | |||||||||
216 | - | 191 | - | - | - | - | - | - | - |
Amortization of deferred clearing credit | |||||||||
209 | 210 | 209 | 210 | 200 | - | - | - | - | - |
Amortization of deferred clearing credit | |||||||||
- | - | - | - | - | 134 | - | - | - | - |
Increase in fair value of contingent consideration | |||||||||
65 | 24 | 28 | 18 | 12 | 0 | - | - | - | - |
Amortization of deferred clearing and marketing credit | |||||||||
209 | 210 | 209 | 210 | 200 | - | - | - | - | - |
Increase in fair value of contingent consideration | |||||||||
65 | 24 | 28 | 18 | 12 | 0 | - | - | - | - |
Increase in fair value of contingent consideration payable | |||||||||
- | - | - | - | - | 0 | - | - | - | - |
Deferred tax expense | |||||||||
-368 | 2,228 | 2,538 | 2,704 | 263 | -11,925 | - | - | - | - |
Stock-based compensation | |||||||||
- | - | - | - | - | - | 379 | 10 | - | - |
Loss on investment in unaffilated entity | |||||||||
- | - | - | - | - | - | -162 | - | - | - |
Amortization of forgivable loans to brokers | |||||||||
- | - | - | - | - | - | - | - | - | 1,289 |
Gain on disposal of National Tax branch | |||||||||
0 | 15 | 0 | 0 | - | - | - | -1,051 | - | - |
Changes in assets and liabilities, net of business acquisitions | |||||||||
Securities owned, at fair value | |||||||||
4,695 | 684 | 4,745 | 1,470 | -174 | 594 | -1,526 | 307 | -310 | -129 |
Warrant issuance and repricing for forbearance of notes payable | |||||||||
- | - | - | - | - | - | - | - | - | 209 |
Net realized and unrealized gain on securities | |||||||||
- | - | - | - | - | - | 1,202 | -23 | 84 | 178 |
Non-controlling interest | |||||||||
- | - | - | - | - | - | - | - | -41 | -10 |
Restricted cash | |||||||||
- | - | - | 136 | 126 | 0 | 92 | - | - | - |
Increase in fair value of derivative liabilities | |||||||||
- | - | - | - | - | - | - | - | 1,603 | 376 |
Fair value of shares issued to satisfy claims | |||||||||
- | - | - | - | - | - | - | - | - | 65 |
Cash deposits with clearing organizations | |||||||||
-100 | 705 | -11 | -25 | 0 | 374 | - | 50 | 2 | 53 |
Receivables from broker-dealers and clearing organizations | |||||||||
-477 | 1,117 | -507 | 279 | -1,907 | 966 | 1,722 | 786 | -1,420 | -1,070 |
Forgivable loans receivable | |||||||||
1,052 | 581 | 597 | 1,132 | 1,257 | 469 | - | - | - | - |
Other receivables, net | |||||||||
1,200 | -976 | -1,117 | 1,883 | -52 | - | - | - | - | - |
Securities owned: non-marketable - at fair value | |||||||||
- | - | - | - | - | - | 39 | -10 | -33 | -3 |
Prepaid expenses | |||||||||
-426 | 1,575 | 580 | 183 | 795 | -391 | - | - | - | - |
Other assets | |||||||||
629 | 91 | 8 | -167 | -278 | 169 | 276 | 30 | -45 | -108 |
Accrued commissions and payroll payable, accounts payable and accrued expenses and other liabilities | |||||||||
6,542 | 1,025 | -882 | 2,012 | -2,933 | -554 | 2,024 | 773 | 690 | -3,068 |
Deferred clearing costs | |||||||||
- | - | - | - | -434 | -699 | - | - | - | - |
Accrued interest payable | |||||||||
- | - | - | - | - | - | - | - | - | 8 |
Securities sold, but not yet purchased at fair value | |||||||||
0 | 151 | 147 | -266 | 23 | -40 | -14 | 1 | 19 | -17 |
Net cash provided (used in) by operating activities | |||||||||
7,676 | 5,260 | 4,288 | -2,442 | 576 | 8,430 | 3,514 | 307 | 158 | -4,262 |
CASH FLOWS FROM INVESTING ACTIVITIES | |||||||||
Net proceeds from issuance of preferred stock | |||||||||
- | - | - | - | - | - | - | - | 1,334 | 1,666 |
Proceeds from issuance of convertible notes payable | |||||||||
- | - | - | - | - | - | - | 5,000 | - | - |
Repayment of notes payable | |||||||||
- | - | - | - | - | - | 1,800 | 4,200 | 500 | 100 |
Net proceeds from subordinated borrowings | |||||||||
- | - | - | - | - | - | - | - | - | 1,700 |
Repayment of subordinated borrowings | |||||||||
- | - | - | - | - | - | 1,000 | 100 | 650 | - |
Proceeds from issuance of subordinated borrowings | |||||||||
- | - | - | - | - | - | - | 1,000 | - | - |
Proceeds from issuance of common stock | |||||||||
- | - | - | - | - | - | 11,578 | - | 1,585 | - |
Acquisition of businesses, net of cash received (Note 7) | |||||||||
387 | 187 | 19 | 0 | 0 | - | - | - | - | - |
Acquisition of intangible asset | |||||||||
0 | 45 | 0 | 0 | 0 | - | - | - | - | - |
Payment of financing costs | |||||||||
- | - | - | - | - | - | - | - | 169 | 216 |
Cash acquired in acquisition | |||||||||
- | - | - | - | - | 1,654 | - | -550 | 31 | - |
Redemption of note receivable | |||||||||
- | - | - | - | - | - | - | - | 500 | - |
Capital contribution to unconsolidated joint venture | |||||||||
- | - | - | - | - | - | - | - | 501 | - |
Purchase of fixed assets | |||||||||
2,744 | 419 | 1,432 | 420 | 254 | 204 | 241 | 221 | 480 | 691 |
Collection on notes receivable | |||||||||
114 | 93 | 46 | 0 | 0 | - | - | - | - | - |
Net cash used in investing activities | |||||||||
-3,017 | -558 | -1,405 | -420 | -254 | 1,450 | -241 | -771 | -481 | -691 |
CASH FLOWS FROM FINANCING ACTIVITIES | |||||||||
Repurchase of common stock for tax withholding | |||||||||
899 | 0 | 0 | 86 | 145 | 0 | - | - | - | - |
Repurchase of common stock for tax withholding | |||||||||
425 | 152 | 0 | 0 | - | 5,400 | - | - | - | - |
Principal payments under finance lease obligations | |||||||||
223 | 0 | 0 | - | - | - | - | - | - | - |
Principal payments under finance obligations | |||||||||
365 | 0 | 0 | - | - | - | - | - | - | - |
Proceeds from warrant exercises | |||||||||
0 | 5 | 0 | 0 | - | - | - | - | - | - |
Contingent consideration payments | |||||||||
617 | 171 | 42 | - | - | - | - | - | - | - |
Proceeds from the sale of interest in subsidiary | |||||||||
- | - | - | - | - | - | - | - | - | 800 |
Net cash used in financing activities | |||||||||
-2,529 | -318 | -42 | -86 | -145 | -5,400 | 8,778 | 1,700 | 1,631 | 3,850 |
NET (DECREASE) INCREASE IN CASH AND RESTRICTED CASH | |||||||||
2,130 | 4,384 | 2,841 | - | - | - | - | - | - | - |
NET INCREASE (DECREASE) IN CASH | |||||||||
- | - | - | -2,948 | 177 | 4,480 | 12,051 | 1,236 | 1,308 | -1,103 |
SUPPLEMENTAL DISCLOSURES OF CASH FLOW INFORMATION | |||||||||
Cash paid during the period for: | |||||||||
Interest | |||||||||
32 | 53 | 14 | 51 | - | - | - | - | - | - |
Interest | |||||||||
- | - | - | - | 13 | 33 | 415 | 617 | 721 | 776 |
Income taxes | |||||||||
118 | 2,349 | 2,399 | 104 | 1,238 | 326 | 47 | 0 | 0 | 0 |
SUPPLEMENTAL DISCLOSURES OF NONCASH INVESTING AND FINANCING ACTIVITIES | |||||||||
Fixed assets (acquired but not paid) | |||||||||
380 | 519 | 240 | 512 | 0 | - | - | - | - | - |
Businesses acquired (See Note 7) | |||||||||
Assets acquired including goodwill | |||||||||
1,815 | 767 | 211 | 0 | 569 | 0 | - | - | - | - |
Acquisition of Gilman in 2014 | |||||||||
- | - | - | - | - | 6,531 | - | - | - | - |
Common stock issued | |||||||||
- | - | - | - | - | 8,840 | - | - | - | - |
Identifiable intangible asset acquired | |||||||||
1,815 | 767 | 211 | 0 | 569 | 0 | - | - | - | - |
Contingent consideration payable | |||||||||
1,428 | 580 | 192 | 0 | 569 | - | - | - | - | - |
Acquisition of businesses, net of cash received (Note 7) | |||||||||
387 | 187 | 19 | 0 | - | - | - | - | - | - |
Notes receivable (included in other receivables) | |||||||||
0 | 159 | 722 | 0 | 0 | - | - | - | - | - |
Disposal of goodwill | |||||||||
0 | 64 | 353 | 0 | 0 | - | - | - | - | - |
Disposal of intangible assets, net | |||||||||
0 | 38 | 232 | 0 | 0 | - | - | - | - | - |
Write off of employee receivable | |||||||||
- | - | - | - | 13 | 0 | - | - | - | - |
Impairment of intangible assets | |||||||||
0 | 0 | 50 | 894 | 0 | - | - | - | - | - |
Impairment of goodwill | |||||||||
0 | 0 | 961 | 0 | 0 | - | - | - | - | - |
Gain on disposal of National Tax branch | |||||||||
0 | 57 | 137 | 0 | 0 | - | - | - | - | - |
Notes receivable (included in other receivables) | |||||||||
0 | 159 | 722 | 0 | 0 | - | - | - | - | - |
Disposal of goodwill | |||||||||
0 | 64 | 353 | 0 | 0 | - | - | - | - | - |
Disposal of intangible assets, net | |||||||||
0 | 38 | 232 | 0 | 0 | - | - | - | - | - |
Gain (Loss) on Disposition of Business | |||||||||
0 | 57 | 137 | 0 | 0 | - | - | - | - | - |
Reclassification of warrant liability from debt to equity | |||||||||
0 | 16,791 | 0 | 0 | - | - | - | - | - | - |
Conversion of debt | |||||||||
- | - | - | - | - | - | - | - | - | 1,708 |
Reclassification of liability contracts to equity | |||||||||
- | - | - | - | - | - | - | - | 6,464 | - |
Embedded conversion features | |||||||||
- | - | - | - | - | - | - | - | 530 | - |
Series A preferred stock dividends | |||||||||
- | - | - | - | - | - | - | 715 | - | 386 |
Conversion of preferred stock to shares of common stock | |||||||||
- | - | - | - | - | - | - | - | - | 3,955 |