DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Advisor moves

Arrivals at Hennion & Walsh Asset Management, Inc.

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Steven Joseph CookLPL Enterprise, LLC BD affiliatedHennion & Walsh Asset Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 27, 2026May 1, 2026
Isabella CiresiEquitable Advisors, LLC national BDHennion & Walsh Asset Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 18, 2025Jan 8, 2026 (51 d)
Steven Tyler FrerichsGarden State Investment Advisory Services, LLC independent RIAHennion & Walsh Asset Management, Inc. BD affiliatedRIA to affiliated broker-dealer or bankOct 6, 2025Feb 3, 2026 (120 d)
Nicholas G GiamarinoWells Fargo Advisors wirehouseHennion & Walsh Asset Management, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankNov 4, 2024Apr 25, 2025 (172 d)
Jeffrey Howard ShornickWells Fargo Advisors wirehouseHennion & Walsh Asset Management, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJun 5, 2024Jul 25, 2024 (50 d)
Scott Marshall SteeleCetera Investment Advisers LLC BD affiliatedHennion & Walsh Asset Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 23, 2024Jan 29, 2025 (281 d)
Robert IonescuMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseHennion & Walsh Asset Management, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankSep 7, 2021Sep 23, 2021
Philip CarrollEdelman Financial Engines mixed wealthHennion & Walsh Asset Management, Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 7, 2020Mar 18, 2021 (223 d)
Kevin KowalczykProshare Advisors LLC asset managerHennion & Walsh Asset Management, Inc. BD affiliatedOtherJul 18, 2019Nov 4, 2020 (475 d)
David Andrew PittSecurian Financial Services, Inc. BD affiliatedHennion & Walsh Asset Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJun 6, 2019Apr 22, 2021 (686 d)
Justin PlanteNuveen Asset Management, LLC mixed wealthHennion & Walsh Asset Management, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMay 13, 2019Sep 20, 2019 (130 d)
Matthew Borden WolcottMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseHennion & Walsh Asset Management, Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankApr 8, 2019Sep 26, 2019 (171 d)
Christo TerzidisPrimerica Advisors national BDHennion & Walsh Asset Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJan 14, 2019Sep 20, 2019 (249 d)
Cal Jason SmithAdvisors Asset Management, Inc. mixed wealthHennion & Walsh Asset Management, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 30, 2018Oct 25, 2018 (87 d)
Thomas P HigginsGuggenheim Investments otherHennion & Walsh Asset Management, Inc. BD affiliatedOtherJan 12, 2018Mar 22, 2018 (69 d)
Daniel MendozaEdward Jones national BDHennion & Walsh Asset Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 27, 2017Jan 29, 2018 (63 d)
Marc Alexander GuidoSummit Financial Resources Inc no RAUMHennion & Walsh Asset Management, Inc. BD affiliatedOtherNov 3, 2017Jan 23, 2018 (81 d)
Richard G JaegerFirst Trust Advisors LP otherHennion & Walsh Asset Management, Inc. otherOtherOct 10, 2016Jan 5, 2017 (87 d)
James C CantelaNorthwestern Mutual Investment Services,LLC no RAUMHennion & Walsh Asset Management, Inc. otherOtherJul 1, 2016Jul 28, 2016
Bryan Robert HuhnAdvisors Asset Management, Inc. otherHennion & Walsh Asset Management, Inc. otherOtherAug 5, 2014Jun 28, 2016 (693 d)
Mark Anthony CzajaPmk Securities & Research, Inc. unclassifiedHennion & Walsh Asset Management, Inc. otherOtherDec 31, 2013Sep 1, 2016 (975 d)
Timothy Peter CirauloPmk Securities & Research, Inc. unclassifiedHennion & Walsh Asset Management, Inc. otherOtherDec 31, 2013Sep 1, 2016 (975 d)
Lisa Anne CrostaCambridge Investment Research Advisors, Inc. otherHennion & Walsh Asset Management, Inc. otherOtherJul 27, 2012Apr 13, 2015 (990 d)
Brian J PendletonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseHennion & Walsh Asset Management, Inc. otherOtherJul 5, 2012Jul 12, 2012
Andrew ByersPrestige Wealth Management Group, LLC otherHennion & Walsh Asset Management, Inc. otherOtherMay 8, 2012Feb 13, 2015 (1011 d)
Tyler J FrechBeacon Wealth Management, LLC otherHennion & Walsh Asset Management, Inc. otherOtherJul 27, 2011Mar 27, 2012 (244 d)
Stephen James ZarubnickyMorgan Stanley wirehouseHennion & Walsh Asset Management, Inc. otherOtherFeb 11, 2011Feb 25, 2011
William Knowis KaiserMorgan Keegan & Company, LLC otherHennion & Walsh Asset Management, Inc. otherOtherAug 25, 2009Oct 15, 2009 (51 d)
Frank James ManzianoSound Financial Advice, LLC unclassifiedHennion & Walsh Asset Management, Inc. otherOtherJul 13, 2007Jul 20, 2007
Veronica C VorhiesJ.P. Morgan Securities LLC wirehouseHennion & Walsh Asset Management, Inc. otherOtherSep 21, 2006Nov 23, 2007 (428 d)
Ian A LovegroveChase Investment Services Corp. otherHennion & Walsh Asset Management, Inc. otherOtherJul 26, 2006Jan 6, 2011 (1625 d)
James Stanley MackenzieJ. B. Hanauer & Co. unclassifiedHennion & Walsh Asset Management, Inc. otherOtherApr 5, 2006Nov 23, 2007 (597 d)
Eoin Patrick MonahanRBC Capital Markets, LLC national BDHennion & Walsh Asset Management, Inc. otherOtherMar 10, 2006Nov 23, 2007 (623 d)
Teresa Carol IncaoRBC Capital Markets, LLC national BDHennion & Walsh Asset Management, Inc. otherOtherSep 13, 2005Feb 6, 2006 (146 d)
David DarcangeloRBC Capital Markets, LLC national BDHennion & Walsh Asset Management, Inc. otherOtherSep 9, 2005May 1, 2007 (599 d)
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35 moves match.