{ "crd_number": 111087, "slug": "kornitzer-capital-management-inc-mission-ks-111087", "primary_business_name": "KORNITZER CAPITAL MANAGEMENT, INC.", "legal_name": "KORNITZER CAPITAL MANAGEMENT, INC.", "dbas": [], "city": "Mission", "state": "KS", "country": "United States", "cbsa_code": "28140", "metro": { "cbsa_code": "28140", "common_name": "Kansas City", "msa_name": "Kansas City, MO-KS", "path": "/advisors/mo/kansas-city" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1989-08-04", "years_registered": 37, "period": "2026-10-01", "filing_date": "2026-06-25", "carried_forward": false, "raum_total": 6491513805.0, "raum_discretionary": 6364804424.0, "raum_non_discretionary": 126709381.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 41, "advisory_employees": 25, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 75534954.0, "count": 32 }, "individuals": { "raum": 121694420.0, "count": 1188 }, "insurance_companies": { "raum": 2489311.0, "count": null, "fewer_than_5": true }, "investment_companies": { "raum": 3296131959.0, "count": 10 }, "pension_profit_sharing": { "raum": 87869967.0, "count": 62 }, "high_net_worth_individuals": { "raum": 2847338986.0, "count": 700 }, "corporations_other_businesses": { "raum": 60454208.0, "count": 16 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_investment_companies" ], "wrap_fee_participant": false, "disclosure_yes_count": 4, "states_registered": [ "AL", "AR", "AZ", "CA", "CT", "DC", "DE", "FL", "GA", "IA", "ID", "IL", "IN", "KS", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "SC", "SD", "TN", "TX", "UT", "VA", "VT", "WA", "WI", "WV" ], "websites": [ "https://kornitzercapitalmanagement.com", "https://linkedin.com/COMPANY/KORNITZER-CAPITAL-MANAGEMENT" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/111087", "disclosure_items": [ { "item": "11.C(1)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" } ], "city_as_filed": "MISSION", "url": "https://advisorcensus.com/firm/kornitzer-capital-management-inc-mission-ks-111087", "display_name": "Kornitzer Capital Management, Inc.", "summary": "Kornitzer Capital Management, Inc. is an SEC-registered investment advisory firm in Mission, KS, registered since 1989, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated June 25, 2026.", "citation": "AdvisorCensus. Kornitzer Capital Management, Inc. (CRD 111087): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for investment companies (and business development companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Kornitzer Capital Management, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Kornitzer Capital Management, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Kornitzer Capital Management, Inc. located?", "a": "Kornitzer Capital Management, Inc.'s principal office is in Mission, KS, according to its Form ADV." }, { "q": "Is Kornitzer Capital Management, Inc. registered with the SEC or a state?", "a": "Kornitzer Capital Management, Inc. is an SEC-registered investment advisory firm, registered since 1989. Status as filed: Approved. CRD 111087." }, { "q": "How much does Kornitzer Capital Management, Inc. manage?", "a": "Kornitzer Capital Management, Inc. reports $6,491,513,805 in regulatory assets under management in its Form ADV filing dated June 25, 2026 (98% discretionary)." }, { "q": "How have Kornitzer Capital Management, Inc.'s assets and staff changed since 2021?", "a": "In the Form ADV data for Kornitzer Capital Management, Inc.: Regulatory assets under management: $7,482,597,861 in the October 2021 data and $6,491,513,805 in the October 2026 data, down 13%. Total employees: 35 in October 2021 and 41 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Kornitzer Capital Management, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,188); high net worth individuals (700); pension and profit sharing plans (but not the plan participants or government pension plans) (62)." }, { "q": "Which custodians does Kornitzer Capital Management, Inc. use?", "a": "Kornitzer Capital Management, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Great Plains Trust Company (affiliated with the firm) as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Kornitzer Capital Management, Inc. report any disciplinary disclosures?", "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/111087" }, { "q": "What changed in Kornitzer Capital Management, Inc.'s recent Form ADV filings?", "a": "In the July 2026 filing data: Employees performing advisory functions went from 24 to 25. Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 7482597861.0, "total_employees": 35, "filing_date": "2021-06-29" }, { "period": "2022-10-01", "regulatory_assets_under_management": 7320180191.0, "total_employees": 39, "filing_date": "2022-06-29" }, { "period": "2023-10-01", "regulatory_assets_under_management": 6371648556.0, "total_employees": 40, "filing_date": "2023-07-13" }, { "period": "2024-10-01", "regulatory_assets_under_management": 7212926049.0, "total_employees": 40, "filing_date": "2024-06-27" }, { "period": "2025-10-01", "regulatory_assets_under_management": 6752273410.0, "total_employees": 40, "filing_date": "2025-06-26" }, { "period": "2026-10-01", "regulatory_assets_under_management": 6491513805.0, "total_employees": 41, "filing_date": "2026-06-25" } ], "recent_changes": [ { "period": "2026-07-01", "period_label": "July 2026", "notes": [ "Employees performing advisory functions went from 24 to 25.", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Great Plains Trust Company", "name_as_filed": "GREAT PLAINS TRUST COMPANY", "affiliated": true } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/kornitzer-capital-management-inc-mission-ks-111087.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 1188, "fewer_than_5": false, "raum": 121694420.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 700, "fewer_than_5": false, "raum": 2847338986.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 10, "fewer_than_5": false, "raum": 3296131959.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 62, "fewer_than_5": false, "raum": 87869967.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 32, "fewer_than_5": false, "raum": 75534954.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": null, "fewer_than_5": true, "raum": 2489311.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 16, "fewer_than_5": false, "raum": 60454208.0 } ], "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/111087", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }