Condensed Consolidated Statements of Financial Condition - USD ($) $ in Thousands	Dec. 31, 2018	Sep. 30, 2018
ASSETS
Cash	$ 30,813	$ 27,920
Restricted cash	1,354	1,353
Cash deposits with clearing organizations	336	336
Securities owned, at fair value	7,208	7,786
Receivables from broker-dealers and clearing organizations	2,751	3,967
Forgivable loans receivable	1,531	1,567
Other receivables, net	5,595	4,265
Prepaid expenses	4,501	4,065
Fixed assets, net	2,652	2,671
Intangible assets, net	4,502	4,730
Goodwill	5,153	5,153
Deferred tax asset, net	4,105	4,192
Other assets, principally refundable deposits	767	444
Total Assets	71,268	68,449
Liabilities
Accrued commissions and payroll payable	13,040	12,862
Accounts payable and accrued expenses	8,107	8,019
Deferred clearing and marketing credits	524	576
Other	620	57
Total Liabilities	22,291	21,514
Commitments and Contingencies (Note 13)
Stockholders’ Equity
Preferred stock, $0.01 par value, 10,000,000 shares authorized; none outstanding	0	0
Common stock $0.02 par value, authorized 75,000,000 shares at December 31, 2018 and September 30, 2018; 12,610,545 shares issued and outstanding at December 31, 2018 and 12,541,890 shares issued and outstanding at September 30, 2018	252	250
Additional paid-in-capital	87,729	86,510
Accumulated deficit	(39,004)	(39,825)
Total Stockholders’ Equity	48,977	46,935
Total Liabilities and Stockholders’ Equity	$ 71,268	$ 68,449