Hennion & Walsh Asset Management, Inc.

RIASEC Registered
Total AUM
$769M
Discretionary
$742M
96% of AUM
Avg account
$422K
Accounts
1,821
Employees
75
Advisory reps
74

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

FINTRX

Overview

Hennion & Walsh Asset Management, Inc. is a corporation that provides advisory and brokerage services to both individuals/families and institutional clients. The firm is registered with the SEC (registered in 2003) and operates as both a broker-dealer and an insurance broker. Its advisory work spans financial planning, discretionary portfolio management for individuals/small businesses and for institutions, pension consulting and the selection of other advisers. Fee arrangements include percentage-of-AUM billing as well as commission-based relationships. The firm reports being a capital allocator and does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 91%, Exchange Traded Equities 6%, Cash & Cash Equivalents 3%, US Government Bonds 1%91%
  • Public Funds/Mutual Funds91%
  • Exchange Traded Equities6%
  • Cash & Cash Equivalents3%
  • US Government Bonds1%

Owners & executives

3 of 4
  • Matthew Wolcott

    Matthew Wolcott

    Chief Operating OfficerCRD 4233708

  • Kevin Mahn

    Kevin Mahn

    President and Chief Investment OfficerCRD 2519398

  • Phillip Fitzsimmons

    Phillip Fitzsimmons

    Chief Compliance OfficerCRD 1625889

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Contacts

3 of 70
  • Henry Szawlowski

    Henry Szawlowski

    TraineeCRD 5680173

  • Stephanie Roche

    Financial AdvisorCRD 5680360

  • Frank Brady Jr

    Frank Brady Jr

    OwnerCRD 5692946

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 122

Active vs passive

$993M in ETFs

Passive

63%

$622M

Active

31%

$371M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$150M196,38115.14%
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Location

Primary office

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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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth