Hennion & Walsh Asset Management, Inc.
Firm details
- Headquarters
- Parsippany, New Jersey
- CRD number
- 126236
- Registered since
- May 2, 2003
- Website
- www.hennionandwalsh.com
- Custodians
- WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
- Fee structure
- Percentage of AUM, Commissions
- Client types
- Individuals50.57%
- HNWI43.51%
- Charitable Organizations4.17%
- Pension & Profit Sharing Plans1.3%
- Corporations / Businesses0.45%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers
Firm profile
FINTRXOverview
Hennion & Walsh Asset Management, Inc. is a privately owned corporate RIA that has been SEC-registered since 2003. The firm serves both individual and family clients as well as institutional clients, and operates with a mix of advisory and brokerage capabilities — it functions as a broker-dealer and an insurance broker in addition to providing fee-based portfolio management. Compensation is primarily percentage-of-AUM based, but the firm also earns commissions. Advisory services include financial planning, discretionary portfolio management for individuals and small businesses, institutional and business portfolio management, pension consulting, and the selection of external advisers. The firm does not identify as an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds91%
- Exchange Traded Equities6%
- Cash & Cash Equivalents3%
- US Government Bonds1%
Owners & executives
3 of 4
Matthew Wolcott
Chief Operating OfficerCRD 4233708
Kevin Mahn
President and Chief Investment OfficerCRD 2519398
Phillip Fitzsimmons
Chief Compliance OfficerCRD 1625889
Contacts
3 of 70
Henry Szawlowski
TraineeCRD 5680173
Stephanie Roche
Financial AdvisorCRD 5680360
Frank Brady Jr
OwnerCRD 5692946
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 120Active vs passive
$968M in ETFs
70%
$673M
24%
$295M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES CORE S&P 500 ETF (IVV) | BlackRock | Passive | Large Blend | $143M | 191,514 | 14.82% |
Location
Parsippany, NJ
Morris
Location
Parsippany, NJ
Headquartered in Parsippany, NJ, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- Morris
- Address
- 2001 46 Waterview Plz
- Time zone
- ET (UTC-5)
- Office locations
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