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Hennion & Walsh Asset Management, Inc. — 13F Holdings & Portfolio

CIK 1861642 · latest 13F-HR filed 2026-10-13

Backtest portfolio

Hennion & Walsh Asset Management, Inc. manages $3.42B in 13F-reported U.S. long-equity assets across 975 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are IVV (4.40%), DDWM (1.97%), DYNF (1.83%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 70 new positions and exited 56; 308 existing positions rose in reported value and 399 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$3.42B

Long-equity book

Holdings
975

Distinct positions

Period
2026-09-30

Filed 2026-10-13

Q/Q Activity
+70 / −56 / ↑308 / ↓399

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26
IVV4.4% · +2%DDWM2.0% · +3%DYNF1.8% · +36%XCEM1.6% · +5%VTV1.6% · +2%SPYI1.4% · newGSLC1.1% · -3%IGEB1.1% · +3%GOOGL0.9% · -8%NVDA0.9% · -7%JSML0.8% · -35%PFF0.8% · -1%AIVC0.8% · +8%MU0.7% · -9%AMAT0.7% · -3%MQY0.7% · -44%NUV0.7% · +3%MHD0.7% · +1%NVG0.7% · -2%LRCX0.7% · -8%MYI0.6% · newAMZN0.6% · -4%HYGW0.6% · +0%NMZ0.6% · +6%AAPL0.6% · -8%DELL0.6% · +11%MSFT0.6% · -2%AVDE0.6% · +6%PANW0.6% · -13%JSCP0.6% · +33%ADI0.6% · -12%AVGO0.6% · -8%NZF0.5% · +7%LLY0.5% · +12%NEA0.5% · +15%BTT0.5% · +6%GE0.5% · +13%V0.5% · -3%NAD0.5% · +20%META0.5% · +11%JEPQ0.5% · +4%KLAC0.5% · -6%JPM0.4% · -3%IOVA0.4% · +21%ANET0.4% · +6%ASML0.4% · +22%AMD0.4% · -3%TEVA0.4% · +6%GSIE0.4% · -3%INDV0.4% · -2%URGN0.4% · +12%TSM0.4% · +30%PML0.4% · +9%IIM0.3% · -2%IDV0.3% · +3%JAZZ0.3% · +6%PWR0.3% · -8%MUA0.3% · -1%COST0.3% · +19%JNJ0.3% · -2%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

5 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 16.7%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Aug 31, 2026.

Assets Under Management
$768.8M
Discretionary
$741.7M
Employees
75
Accounts
1,821
Address
2001 ROUTE 46
WATERVIEW PLAZA
PARSIPPANY, NJ 07054
Phone
(973) 299-8989
Website
Name Title / Status Ownership Type
Fitzsimmons, Phillip ControlCHIEF COMPLIANCE OFFICER
since Feb 2019
Less than 5%Individual
HENNION, RICHARD ControlOWNER
since Nov 1989
50–75%Individual
MAHN, KEVIN, DOUGLAS ControlPRESIDENT
since Mar 2011
Less than 5%Individual
WALSH, WILLIAM, WALTER ControlOWNER
since Nov 1989
50–75%Individual
Ownership & leadership changes · 4 filings with changes since Jan 10, 2012

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Mar 29, 2023 filing
  • No longer listedVallone, Robert, Gerard · FINANCIAL PRINCIPAL · Less than 5% · listed since Mar 2022
Mar 30, 2022 filing
  • No longer listedHOFFMANN, DEBORAH, ANN · CHIEF FINANCIAL OFFICER · Less than 5% · control person · listed since Dec 2004
  • AddedVallone, Robert, Gerard · FINANCIAL PRINCIPAL · Less than 5%
Mar 27, 2020 filing
  • No longer listedWURST, WENDY, ANN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Feb 2019
  • AddedFitzsimmons, Phillip · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Feb 21, 2019 filing
  • No longer listedVERMITSKY, ALEXANDER · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since May 2002
  • AddedWURST, WENDY, ANN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Jan 10, 2012 filing (earliest on record)
  • ListedHENNION, RICHARD · OWNER · 50–75% · control person
  • ListedHOFFMANN, DEBORAH, ANN · CHIEF FINANCIAL OFFICER · Less than 5% · control person
  • ListedMAHN, KEVIN, DOUGLAS · PRESIDENT · Less than 5% · control person
  • ListedVERMITSKY, ALEXANDER · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
  • ListedWALSH, WILLIAM, WALTER · OWNER · 50–75% · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Hennion & Walsh Asset Management, Inc. Holdings (2026-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 ISHARES TR IVV 464287200 $150.4M 4.40% 196,381 SH
2 WISDOMTREE TR DDWM 97717X263 $67.3M 1.97% 1,474,086 SH
3 BLACKROCK ETF TRUST DYNF 09290C103 $62.5M 1.83% 901,754 SH
4 COLUMBIA ETF TR II XCEM 19762B202 $54.3M 1.59% 1,056,208 SH
5 VANGUARD INDEX FDS VTV 922908744 $54.3M 1.59% 251,274 SH
6 NEOS ETF TRUST SPYI 78433H303 $48.7M 1.42% 915,241 SH
7 GOLDMAN SACHS ETF TR GSLC 381430503 $38.4M 1.12% 264,543 SH
8 ISHARES TR IGEB 46435G219 $37.9M 1.11% 886,853 SH
9 ALPHABET INC GOOGL 02079K305 $29.7M 0.87% 86,259 SH
10 NVIDIA CORPORATION NVDA 67066G104 $29.1M 0.85% 127,442 SH
11 JANUS DETROIT STR TR JSML 47103U100 $26.8M 0.78% 312,068 SH
12 ISHARES TR PFF 464288687 $26.1M 0.76% 885,715 SH
13 AMPLIFY ETF TR AIVC 032108573 $26.1M 0.76% 226,687 SH
14 MICRON TECHNOLOGY INC MU 595112103 $25.5M 0.75% 23,958 SH
15 APPLIED MATLS INC AMAT 038222105 $25.2M 0.74% 49,365 SH
16 BLACKROCK MUNIYILD QULT FD I MQY 09254F100 $24.9M 0.73% 2,507,219 SH
17 NUVEEN MUN VALUE FD INC NUV 670928100 $24.5M 0.72% 2,956,757 SH
18 BLACKROCK MUNIHOLDINGS FD IN MHD 09253N104 $24.0M 0.70% 2,339,514 SH
19 NUVEEN AMT FREE MUN CR INC F NVG 67071L106 $22.9M 0.67% 2,163,046 SH
20 LAM RESEARCH CORP LRCX 512807306 $22.5M 0.66% 68,449 SH
21 BLACKROCK MUNIYIELD QUALITY MYI 09254E103 $22.1M 0.65% 2,295,761 SH
22 ISHARES TR HYGW 46436E320 $21.7M 0.64% 768,920 SH
23 AMAZON COM INC AMZN 023135106 $21.2M 0.62% 85,255 SH
24 NUVEEN MUN HIGH INCOME OPPOR NMZ 670682103 $21.0M 0.61% 2,345,860 SH
25 DELL TECHNOLOGIES INC DELL 24703L202 $20.0M 0.59% 37,246 SH
26 MICROSOFT CORP MSFT 594918104 $19.6M 0.57% 38,270 SH
27 AMERICAN CENTY ETF TR AVDE 025072703 $19.5M 0.57% 216,952 SH
28 PALO ALTO NETWORKS INC PANW 697435105 $19.2M 0.56% 48,238 SH
29 J P MORGAN EXCHANGE TRADED F JSCP 46641Q274 $19.2M 0.56% 416,624 SH
30 BROADCOM INC AVGO 11135F101 $18.9M 0.55% 53,870 SH
31 APPLE INC AAPL 037833100 $18.8M 0.55% 56,377 SH
32 NUVEEN MUN CR INCOME FD NZF 67070X101 $18.6M 0.54% 1,714,876 SH
33 ELI LILLY & CO LLY 532457108 $18.6M 0.54% 16,042 SH
34 ANALOG DEVICES INC ADI 032654105 $18.4M 0.54% 46,471 SH
35 NUVEEN AMT FREE QLTY MUN INC NEA 670657105 $18.3M 0.54% 1,842,345 SH
36 BLACKROCK MUN TARGET TERM TR BTT 09257P105 $18.2M 0.53% 833,167 SH
37 GE AEROSPACE GE 369604301 $17.2M 0.50% 55,128 SH
38 VISA INC V 92826C839 $17.1M 0.50% 47,517 SH
39 NUVEEN QUALITY MUNCP INCOME NAD 67066V101 $16.6M 0.49% 1,644,333 SH
40 META PLATFORMS INC META 30303M102 $16.4M 0.48% 22,612 SH
41 J P MORGAN EXCHANGE TRADED F JEPQ 46654Q203 $16.2M 0.47% 263,920 SH
42 KLA CORP KLAC 482480100 $16.1M 0.47% 82,808 SH
43 JPMORGAN CHASE & CO JPM 46625H100 $15.2M 0.44% 45,885 SH
44 IOVANCE BIOTHERAPEUTICS INC IOVA 462260100 $14.7M 0.43% 992,194 SH
45 ARISTA NETWORKS INC ANET 040413205 $14.4M 0.42% 70,889 SH
46 ASML HLDG NV ASML N07059210 $14.1M 0.41% 7,802 SH
47 ADVANCED MICRO DEVICES INC AMD 007903107 $13.8M 0.40% 22,590 SH
48 TEVA PHARMACEUTICAL INDS LTD TEVA M8769Q102 $13.8M 0.40% 348,579 SH
49 GOLDMAN SACHS ETF TR GSIE 381430107 $12.7M 0.37% 277,404 SH
50 INDIVIOR PHARMACEUTICALS INC INDV 45579U109 $12.7M 0.37% 353,240 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-10-13 $3.42B 975 0002000324-26-005579
2026-06-30 2026-07-08 $3.50B 960 0002000324-26-002845
2026-03-31 2026-05-13 $2.97B 934 0002000324-26-001898
2025-12-31 2026-01-14 $2.90B 930 0002000324-26-000109
2025-09-30 2025-10-22 $2.76B 941 0002000324-25-003954
Filer Information
Address
2001 ROUTE 46
WATERVIEW PLAZA
PARSIPPANY, NJ 07054
Phone
(973) 299-8989
Filing Manager
Hennion & Walsh Asset Management, Inc.
Parsippany, NJ
Signatory
Phillip Fitzsimmons
Chief Compliance officer