|
FY2014
12 months to Dec 31, 2014
|
FY2013
1 months to Feb 14, 2014
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|---|---|---|
| Cash flows from operating activities: | ||
| Net income | ||
| Adjustments to reconcile net income to net cash provided by operating activities: | ||
| Depreciation | ||
| Amortization | ||
| Equity-based compensation | ||
| Deferred income taxes | ||
| Deferred income tax on the unrealized loss of available-for-sale securities | ||
| Loss on investment | ||
| Gain on the sale of available-for-sale securities | ||
| Change in contingent and deferred consideration | ||
| Loss on derivative contracts | ||
| Deferred compensation plan investments, net | ||
| Non-cash legal settlement | ||
| Forgiveness of notes receivable | ||
| Change in fair value of trading securities | ||
| Deferred financing fees amortization | ||
| Other | ||
| Increase (decrease) resulting from changes in: | ||
| Cash and securities segregated under federal and other regulations | ||
| Trading securities | ||
| Fees and commissions receivable: | ||
| Due from related parties | ||
| Reimbursable expenses receivable: | ||
| Due from related parties | ||
| Due from non-related parties | ||
| Receivable from customers | ||
| Investment banking fees receivable: | ||
| Due from related parties | ||
| Due from non-related parties | ||
| Receivables from broker, dealers, clearing organizations and other | ||
| Due from RCAP Holdings and related parties | ||
| Prepaid expenses and other assets | ||
| Notes receivable | ||
| Payable to customers | ||
| Payable to broker-dealers | ||
| Commissions payable | ||
| Accrued expenses and accounts payable: | ||
| Due to related parties | ||
| Due to non-related parties | ||
| Due to related parties | ||
| Due to non-related parties | ||
| Other liabilities | ||
| Net cash (used in) provided by operating activities | ||
| Cash flows from investing activities: | ||
| Purchases of available-for-sale securities | ||
| Proceeds from the sale of available-for-sale securities | ||
| Purchase of property and equipment | ||
| Proceeds from the written put option | ||
| Payments to acquire businesses, net of cash acquired | ||
| Cetera Financial Group | ||
| Summit Financial Services Group | ||
| Hatteras Funds Group | ||
| JP Turner & Company, LLC | ||
| SK Research | ||
| ICH acquisition | ||
| StratCap | ||
| Trupoly acquisition | ||
| First Allied acquisition | ||
| Total payments to acquire businesses, net of cash acquired | ||
| Payment for acquisition of intellectual property | ||
| Net cash (used in) provided by investing activities | ||
| Cash flows from financing activities: | ||
| Proceeds from the issuance of term loans | ||
| Payments on long-term debt | ||
| Payment of contingent and deferred consideration | ||
| Net proceeds from the issuance of convertible notes (including embedded derivative) | ||
| Net proceeds from issuance of common stock | ||
| Contributions | ||
| Distributions | ||
| Dividends paid | ||
| Other | ||
| Net cash provided by (used in) financing activities | ||
| Net increase in cash | ||
| Cash and cash equivalents, beginning of period | ||
| Cash and cash equivalents, end of period | ||
| Non-cash: | ||
| Dividends declared but not yet paid | ||
| Conversion of Series A convertible preferred stock to Class A common stock | ||
| Issuance of stock for compensation and acquisitions | ||
| Cash: | ||
| Cash paid for income taxes | ||
| Cash paid for interest |
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