Hennion & Walsh Asset Management, Inc.

Adviser

CIK

1861642

Location

Parsippany, NJ

Portfolio Value

Mid $3,388,528,969

Diversification

Diversified

Filing Date

Global Rank

#1,127 / 8,817 ▲ 32 · as of Jun 2026

Top Industry

Asset Management 26.8%

Period ended 27 days ago

Filed Oct 13, 2026 · 14d

23 quarters · since Mar 2021

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Adviser

Schedule 13D, Jun 9, 2026

Records disagree; the first in precedence decides.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Diversified active

Top 10 weight 22.1%, 91.2 effective positions, active share 62.8% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

26.2% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 13.8 quarters (12+)

Closest benchmark: every 13F filer's combined book, active share 62.8%; sector active share 29.9% against the combined 13F book's sector weights.

Over time 22 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

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Portfolio Concentration

968 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

8.5%

+0.4 pts

Top 5

15.6%

+0.4 pts

Top 10

22.0%

−0.1 pts

HHI

114

Diversified+4

Portfolio Trend

23 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	25.6%	$868,595,588	98
Financial Services	24.9%	$845,153,929	241
Technology	14.6%	$494,487,525	136
Healthcare	11.2%	$379,659,135	119
Industrials	8.6%	$292,726,078	114
Utilities	3.3%	$112,664,522	45
Consumer Cyclical	2.9%	$99,188,822	72
Consumer Defensive	2.4%	$81,193,426	32
Communication Services	2.2%	$74,113,707	34
Energy	2.1%	$72,509,436	34
Real Estate	1.5%	$49,827,699	26
Basic Materials	0.5%	$18,409,102	17

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
OCGN	Ocugen, Inc.	+555,248	3,385,645	$3,487,214
MFM	Aberdeen Municipal Income Fund	+551,772	1,576,341	$7,645,253
GERN	Geron Corp	+438,059	1,438,969	$1,769,931
ALLO	Allogene Therapeutics, Inc.	+316,400	1,039,328	$1,662,924
NBH	Neuberger Municipal Fund Inc.	+310,974	470,577	$4,277,544
NMCO	Nuveen Municipal Credit Opportunities Fund	+301,728	622,117	$5,530,620
NAD	Nuveen Quality Municipal Income Fund	+271,237	1,644,333	$16,640,649
DYNF	iShares U.S. Equity Factor Rotation Active ETF	+237,744	901,754	$62,455,482
NEA	Nuveen AMT-Free Quality Municipal Income Fund	+234,449	1,842,345	$18,331,332
ALT	Altimmune, Inc.	+226,799	744,997	$2,130,691
IQI	Invesco Quality Municipal Income Trust	+202,752	570,256	$4,915,606
LRMR	Larimar Therapeutics, Inc.	+173,635	570,361	$1,822,303
IOVA	Iovance Biotherapeutics, Inc.	+173,281	992,194	$14,704,315
MHF	Western Asset Municipal High Income Fund Inc.	+169,952	350,491	$2,106,450
MMU	Western Asset Managed Municipals Fund Inc.	+153,841	768,088	$6,859,025
PML	Pimco Municipal Income Fund II	+152,768	1,826,576	$12,000,604
FMN	Federated Hermes Premier Municipal Income Fund	+144,339	217,418	$2,141,567
VSTM	Verastem, Inc.	+130,633	699,828	$5,633,615
NMZ	Nuveen Municipal High Income Opportunity Fund	+128,824	2,345,860	$21,018,905
ARDX	Ardelyx, Inc.	+127,159	1,338,849	$4,578,863
LXEO	Lexeo Therapeutics, Inc.	+116,292	381,989	$1,291,122
ANNX	Annexon, Inc.	+112,975	620,025	$2,622,705
AFB	Alliancebernstein National Municipal Income Fund	+111,288	710,957	$6,775,420
NZF	Nuveen Municipal Credit Income Fund	+109,440	1,714,876	$18,572,107
NXP	Nuveen Select Tax Free Income Portfolio	+104,929	773,125	$10,383,068
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
MQY	Blackrock Muniyield Quality Fund, Inc.	−1,999,992	2,507,219	$24,896,684
GOSS	Gossamer Bio, Inc.	−1,084,711	14,203	$168,305
ISPY	ProShares S&P 500 High Income ETF	−1,029,794	18,006	$860,686
CANG	Cango Inc.	−423,877	46,493	$115,767
MYN	Blackrock Muniyield New York Quality Fund, Inc.	−213,146	713,731	$6,252,283
JSML	Janus Henderson Small Cap Growth Alpha ETF	−170,533	312,068	$26,815,379
CION	CION Investment Corp	−93,862	196,894	$1,382,195
NMFC	New Mountain Finance Corp	−93,632	389,692	$2,696,668
BDJ	BlackRock Enhanced Equity Dividend Trust	−70,894	147,107	$1,382,805
OBDC	Blue Owl Capital Corp	−64,879	288,709	$3,028,557
SLRC	SLR Investment Corp.	−59,626	124,334	$1,441,031
TZOO	Travelzoo	−56,524	91,372	$502,546
JPC	Nuveen Preferred & Income Opportunities Fund	−56,285	85,003	$579,720
PMO	Franklin Municipal Opportunities Trust	−54,146	496,370	$4,536,821
PSBD	Palmer Square Capital BDC Inc.	−50,934	147,128	$1,455,095
GSBD	Goldman Sachs BDC, Inc.	−50,911	239,259	$2,174,864
EIM	Eaton Vance Municipal Bond Fund	−50,570	1,042,356	$9,454,168
NNY	Nuveen New York Municipal Value Fund	−50,046	364,645	$2,836,938
PAI	Western Asset Investment Grade Income Fund Inc.	−48,908	178,920	$2,052,212
JHS	John Hancock Income Securities Trust	−48,574	163,192	$1,692,105
TRIN	Trinity Capital Inc.	−48,485	297,707	$5,224,757
NCDL	Nuveen Churchill Direct Lending Corp.	−47,833	394,847	$4,438,080
NVG	Nuveen AMT-Free Municipal Credit Income Fund	−47,500	2,163,046	$22,949,918
MFIC	MidCap Financial Investment Corp	−46,702	33,589	$293,567
CPNG	Coupang, Inc.	−44,483	14,889	$206,510
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
SPYI	NEOS S&P 500(R) High Income ETF	915,241	$48,663,363
MYI	Blackrock Muniyield Quality Fund III, Inc.	2,295,761	$22,108,178
NDMO	Nuveen Dynamic Municipal Opportunities Fund	210,850	$1,863,914
AME	Ametek Inc	4,040	$1,000,829
CIB	Grupo Cibest S.A.	10,648	$988,666
HUBB	Hubbell Inc	2,094	$949,838
GOLD	Gold.com, Inc.	20,892	$889,372
PTH	Invesco Dorsey Wright Healthcare Momentum ETF	14,455	$878,285
SKHY	SK hynix Inc.	4,687	$863,111
ESE	Esco Technologies Inc	3,067	$813,092
QNST	Quinstreet, Inc	53,997	$810,494
CHRW	C. H. Robinson Worldwide, Inc.	4,474	$661,973
PENG	Penguin Solutions, Inc.	12,048	$658,905
PXJ	Invesco Oil & Gas Services ETF	15,020	$651,988
AAON	Aaon, Inc.	7,363	$609,361
ETON	Eton Pharmaceuticals, Inc.	11,789	$607,015
CRVS	Corvus Pharmaceuticals, Inc.	52,673	$606,792
COHR	Coherent Corp.	2,009	$578,210
MTZ	Mastec Inc	2,679	$572,287
SPXC	SPX Technologies, Inc.	3,348	$567,686
EMF	Templeton Emerging Markets Fund	20,273	$451,175
PFD	Flaherty & Crumrine Preferred & Income Fund Inc	40,798	$439,394
PGP	PIMCO Global StocksPLUS & Income Fund	52,645	$430,636
PSF	Cohen & Steers Select Preferred & Income Fund, Inc.	23,611	$428,303
JIVE	JPMorgan International Value ETF	4,069	$387,450
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
IDMO	Invesco Ltd.	124,712	$7,518,886
PSI	Victory Portfolios II	7,170	$1,346,669
NBIX	Neurocrine Biosciences Inc	5,869	$989,161
PPA	Victory Portfolios II	5,425	$958,326
PKB	Victory Portfolios II	7,900	$885,274
PTF	Victory Portfolios II	6,135	$836,261
PBD	Invesco Ltd.	39,615	$776,454
—		10,124	$773,676
NWG	NatWest Group plc	43,668	$769,866
IGPT	Victory Portfolios II	7,375	$767,737
FT	Franklin Universal Trust	75,903	$612,537
LEN	Lennar Corp	6,731	$609,088
FDUS	FIDUS INVESTMENT Corp	29,739	$567,122
HUBG	Hub Group, Inc.	12,742	$557,972
GRMN	Garmin Ltd	2,282	$542,066
FAST	Fastenal Co	11,232	$539,472
SKT	Tanger Inc.	13,478	$531,976
PR	Permian Resources Corp	27,172	$500,236
NVO	Novo Nordisk A S	9,289	$445,314
PBR-A	Petrobras - Petroleo Brasileiro SA	29,909	$437,867
BRO	Brown & Brown, Inc.	6,347	$407,160
MRTN	Marten Transport Ltd	21,397	$371,237
EFR	Eaton Vance Senior Floating-Rate Trust	34,126	$361,735
BNDX	Vanguard Total International Bond ETF	7,392	$357,994
FANG	Diamondback Energy, Inc.	1,996	$350,856
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

968 tracked positions · $3,388,528,969 total · filing declares 975 positions · $3,418,132,296 · as of Sep 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 968 positions by value · page 1 of 20

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
IVV	iShares Core S&P 500 ETF	Added	196,381	+4,867	$150,398,388	+4.9%	4.44%
DDWM	WisdomTree Dynamic International Equity Fund	Added	1,474,086	+40,339	$67,262,544	+1.6%	1.99%
DYNF	iShares U.S. Equity Factor Rotation Active ETF	Added	901,754	+237,744	$62,455,482	+38.3%	1.84%
XCEM	Columbia EM Core ex-China ETF	Added	1,056,208	+47,468	$54,299,653	+1.8%	1.60%
VTV	VANGUARD VALUE INDEX FUND	Added	251,274	+4,441	$54,295,285	+0.9%	1.60%
SPYI	NEOS S&P 500(R) High Income ETF	NEW	915,241	NEW	$48,663,363	NEW	1.44%
GSLC	Goldman Sachs ActiveBeta(R) U.S. Large Cap Equity ETF	Reduced	264,543	-7,455	$38,369,316	−0.6%	1.13%
IGEB	iShares Investment Grade Systematic Bond ETF	Added	886,853	+25,612	$37,948,439	−2.3%	1.12%
GOOGL	Alphabet Inc. Communication Services	Reduced	86,259	-7,256	$29,679,996	−11.2%	0.88%
NVDA	Nvidia Corp Technology	Reduced	127,442	-10,019	$29,105,203	+5.8%	0.86%
JSML	Janus Henderson Small Cap Growth Alpha ETF	Reduced	312,068	-170,533	$26,815,379	−40.3%	0.79%
PFF	iShares Preferred and Income Securities ETF	Reduced	885,715	-9,899	$26,128,592	−4.3%	0.77%
AIVC	Amplify Bloomberg AI Equal Weight ETF	Added	226,687	+17,146	$26,067,871	+7.8%	0.77%
MU	Micron Technology Inc Technology	Reduced	23,958	-2,306	$25,517,905	−15.8%	0.75%
AMAT	Applied Materials Inc Technology	Reduced	49,365	-1,452	$25,244,273	−31.3%	0.74%
MQY	Blackrock Muniyield Quality Fund, Inc. Financial Services	Reduced	2,507,219	-1,999,992	$24,896,684	−52.4%	0.73%
NUV	Nuveen Municipal Value Fund Inc Financial Services	Added	2,956,757	+94,454	$24,511,515	−7.1%	0.72%
MHD	Blackrock Muniholdings Fund, Inc. Financial Services	Added	2,339,514	+29,242	$24,003,413	−12.7%	0.71%
NVG	Nuveen AMT-Free Municipal Credit Income Fund Financial Services	Reduced	2,163,046	-47,500	$22,949,918	−18.9%	0.68%
LRCX	Lam Research Corp Technology	Reduced	68,449	-5,942	$22,486,180	−30.2%	0.66%
MYI	Blackrock Muniyield Quality Fund III, Inc. Financial Services	NEW	2,295,761	NEW	$22,108,178	NEW	0.65%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	88,276	-3,671	$21,993,965	+0.4%	0.65%
HYGW	iShares High Yield Corporate Bond BuyWrite Strategy ETF	Added	768,920	+1,731	$21,734,292	−2.6%	0.64%
NMZ	Nuveen Municipal High Income Opportunity Fund Financial Services	Added	2,345,860	+128,824	$21,018,905	−10.3%	0.62%
AAPL	Apple Inc. Technology	Reduced	62,301	-5,752	$20,747,478	+5.4%	0.61%
DELL	Dell Technologies Inc. Technology	Added	37,246	+3,750	$20,036,485	+38.6%	0.59%
MSFT	Microsoft Corp Technology	Reduced	38,270	-582	$19,628,683	+35.4%	0.58%
AVDE	Avantis International Equity ETF	Added	216,952	+13,185	$19,549,544	+7.6%	0.58%
PANW	Palo Alto Networks Inc Technology	Reduced	48,238	-7,318	$19,165,439	+1.2%	0.57%
JSCP	JPMorgan Short Duration Core Plus ETF	Added	416,624	+104,310	$19,156,371	+30.1%	0.57%
ADI	Analog Devices Inc Technology	Reduced	47,856	-6,243	$18,984,953	−11.6%	0.56%
AVGO	Broadcom Inc. Technology	Reduced	53,870	-4,613	$18,918,605	−14.4%	0.56%
NZF	Nuveen Municipal Credit Income Fund Financial Services	Added	1,714,876	+109,440	$18,572,107	−8.8%	0.55%
LLY	ELI LILLY & Co Healthcare	Added	16,042	+1,682	$18,561,877	+7.8%	0.55%
NEA	Nuveen AMT-Free Quality Municipal Income Fund Financial Services	Added	1,842,345	+234,449	$18,331,332	−2.9%	0.54%
BTT	BlackRock Municipal 2030 Target Term Trust Financial Services	Added	833,167	+49,485	$18,196,367	+2.1%	0.54%
GE	General Electric Co Industrials	Added	55,128	+6,154	$17,215,923	−5.9%	0.51%
V	Visa Inc. Financial Services	Reduced	47,517	-1,326	$17,074,283	+1.9%	0.50%
NAD	Nuveen Quality Municipal Income Fund Financial Services	Added	1,644,333	+271,237	$16,640,649	−0.0%	0.49%
META	Meta Platforms, Inc. Communication Services	Added	22,612	+2,187	$16,397,770	+42.5%	0.48%
JEPQ	JPMorgan Nasdaq Equity Premium Income ETF	Added	263,920	+9,171	$16,167,739	+3.3%	0.48%
KLAC	Kla Corp Technology	Reduced	82,808	-5,675	$16,141,763	−39.5%	0.48%
JPM	Jpmorgan Chase & Co Financial Services	Reduced	45,885	-1,286	$15,180,134	−1.7%	0.45%
IOVA	Iovance Biotherapeutics, Inc. Healthcare	Added	992,194	+173,281	$14,704,315	+331.6%	0.43%
ANET	Arista Networks, Inc. Technology	Added	70,889	+4,055	$14,432,291	+27.1%	0.43%
ASML	Asml Holding NV Technology	Added	7,802	+1,431	$14,134,649	+11.5%	0.42%
AMD	Advanced Micro Devices Inc Technology	Reduced	22,590	-768	$13,819,658	+1.8%	0.41%
TEVA	Teva Pharmaceutical Industries Ltd Healthcare	Added	348,579	+20,778	$13,803,728	+24.3%	0.41%
GSIE	Goldman Sachs ActiveBeta(R) International Equity ETF	Reduced	277,404	-9,309	$12,716,199	−3.0%	0.38%
INDV	Indivior Pharmaceuticals, Inc. Healthcare	Reduced	353,240	-7,005	$12,663,654	−14.3%	0.37%

Showing the top 50 of 968 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.