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HENNION & WALSH ASSET MANAGEMENT, INC.

PARSIPPANY, NJ · CRD 126236 · IAPD ↗ · hennionandwalsh.com · 973-299-8989

$768.8MRegulatory AUM
11Advisory reps
75Employees
13Clients
51-100Planning clients
0Private funds
37States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
September 2026 — HENNION & WALSH ASSET MANAGEMENT, INC. notice-filed in MO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2026 — HENNION & WALSH ASSET MANAGEMENT, INC. notice-filed in AL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
April 2026 — HENNION & WALSH ASSET MANAGEMENT, INC. reported RAUM up 30% ($590.1M -> $768.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
47
February 2026 — HENNION & WALSH ASSET MANAGEMENT, INC. notice-filed in LA, MS.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
August 2025 — HENNION & WALSH ASSET MANAGEMENT, INC. notice-filed in AR.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
May 2025 — HENNION & WALSH ASSET MANAGEMENT, INC. notice-filed in NV.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
April 2025 — HENNION & WALSH ASSET MANAGEMENT, INC. reports 101-250 financial-planning clients, up from 51-100.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2025 — HENNION & WALSH ASSET MANAGEMENT, INC. crossed $500M in regulatory AUM ($472.7M -> $590.1M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
72
April 2025 — HENNION & WALSH ASSET MANAGEMENT, INC. grew from 7 to 11 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
49
March 2025 — HENNION & WALSH ASSET MANAGEMENT, INC. notice-filed in DC, ID, ME.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
February 2024 — HENNION & WALSH ASSET MANAGEMENT, INC. notice-filed in IN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.