|
Q4 FY2019
As of Dec 31, 2019
|
Q3 FY2019
As of Sep 30, 2019
|
Q2 FY2019
As of Jun 30, 2019
|
Q1 FY2019
As of Mar 31, 2019
|
Q4 FY2018
As of Dec 31, 2018
|
Q3 FY2018
As of Sep 30, 2018
|
Q2 FY2018
As of Jun 30, 2018
|
Q1 FY2018
As of Mar 31, 2018
|
Q4 FY2017
As of Dec 31, 2017
|
Q3 FY2017
As of Sep 30, 2017
|
Q2 FY2017
As of Jun 30, 2017
|
Q1 FY2017
As of Mar 31, 2017
|
Q4 FY2016
As of Dec 31, 2016
|
Q3 FY2016
As of Sep 30, 2016
|
Q2 FY2016
As of Jun 30, 2016
|
Q1 FY2016
As of Mar 31, 2016
|
Q4 FY2015
As of Dec 31, 2015
|
Q3 FY2015
As of Sep 30, 2015
|
Q2 FY2015
As of Jun 30, 2015
|
Q1 FY2015
As of Mar 31, 2015
|
|
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| ASSETS | ||||||||||||||||||||
| Cash and cash equivalents | ||||||||||||||||||||
| Securities owned, at fair value | ||||||||||||||||||||
| Receivables from clearing brokers | ||||||||||||||||||||
| Receivables from other broker-dealers | ||||||||||||||||||||
| Notes receivable from financial advisors, net | ||||||||||||||||||||
| Other receivables, net | ||||||||||||||||||||
| Insurance trailing commissions receivable | ||||||||||||||||||||
| Fixed assets, net | ||||||||||||||||||||
| Right-of-use assets | ||||||||||||||||||||
| Restricted cash | ||||||||||||||||||||
| Intangible assets, net | ||||||||||||||||||||
| Goodwill | ||||||||||||||||||||
| Unamortized debt issue cost | ||||||||||||||||||||
| Contract acquisition costs, net | ||||||||||||||||||||
| Cash surrender value of life insurance | ||||||||||||||||||||
| Deferred tax asset | ||||||||||||||||||||
| Income taxes receivable | ||||||||||||||||||||
| Other assets | ||||||||||||||||||||
| Total assets | ||||||||||||||||||||
| LIABILITIES AND SHAREHOLDERS’ EQUITY | ||||||||||||||||||||
| Securities sold, but not yet purchased, at fair value | ||||||||||||||||||||
| Accrued compensation | ||||||||||||||||||||
| Commissions and fees payable | ||||||||||||||||||||
| Accounts payable and accrued liabilities | ||||||||||||||||||||
| Deferred rent | ||||||||||||||||||||
| Lease liabilities | ||||||||||||||||||||
| Lease liability | ||||||||||||||||||||
| Deferred income taxes | ||||||||||||||||||||
| Deferred compensation liability | ||||||||||||||||||||
| Accrued interest | ||||||||||||||||||||
| Notes payable, net of unamortized discount of $5,718 and $6,372 in 2019 and 2018, respectively, and net of debt issuance costs of $8,642 and $7,086 in 2019 and 2018 respectively. | ||||||||||||||||||||
| Total liabilities | ||||||||||||||||||||
| Shareholders’ equity: | ||||||||||||||||||||
| Preferred stock, $.0001 par value; authorized 50,000,000 shares: 8% Series A cumulative redeemable preferred stock; designated 23,844,916 shares in 2019 and 2018; shares issued and outstanding 17,401,282 in 2019 and 17,012,075 in 2018 (liquidation preference $435,032 and $425,302 in 2019 and 2018, respectively) | ||||||||||||||||||||
| Common stock, $.0001 par value; authorized 1,000,000,000 shares in 2019 and 2018; shares issued and outstanding, 149,311,259 in 2019 and 146,535,796 in 2018 | ||||||||||||||||||||
| Additional paid-in capital | ||||||||||||||||||||
| Accumulated deficit | ||||||||||||||||||||
| Total shareholders’ equity of the Company | ||||||||||||||||||||
| Noncontrolling interest | ||||||||||||||||||||
| Total shareholders' equity | ||||||||||||||||||||
| Total liabilities and shareholders' equity |
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