# Kornitzer Capital Management, Inc.

> 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.

- CRD: 111087
- Filed as: KORNITZER CAPITAL MANAGEMENT, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Mission, KS
- Filing period: October 2026
- Form ADV filing dated: June 25, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/111087
- AdvisorCensus page: https://advisorcensus.com/firm/kornitzer-capital-management-inc-mission-ks-111087

## Quick answers

**How is Kornitzer Capital Management, Inc. compensated?**
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.

**Where is Kornitzer Capital Management, Inc. located?**
Kornitzer Capital Management, Inc.'s principal office is in Mission, KS, according to its Form ADV.

**Is Kornitzer Capital Management, Inc. registered with the SEC or a state?**
Kornitzer Capital Management, Inc. is an SEC-registered investment advisory firm, registered since 1989. Status as filed: Approved. CRD 111087.

**How much does Kornitzer Capital Management, Inc. manage?**
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).

**How have Kornitzer Capital Management, Inc.'s assets and staff changed since 2021?**
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.

**What types of clients does Kornitzer Capital Management, Inc. serve?**
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).

**Which custodians does Kornitzer Capital Management, Inc. use?**
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.

**Does Kornitzer Capital Management, Inc. report any disciplinary disclosures?**
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

**What changed in Kornitzer Capital Management, Inc.'s recent Form ADV filings?**
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).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Great Plains Trust Company (affiliated with the firm)

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.

### Regulatory assets under management (Item 5.F)
- Total: $6,491,513,805
- Discretionary: $6,364,804,424
- Non-discretionary: $126,709,381

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 1,188 | $121,694,420 |
| High net worth individuals | 700 | $2,847,338,986 |
| Investment companies | 10 | $3,296,131,959 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 62 | $87,869,967 |
| Charitable organizations | 32 | $75,534,954 |
| Insurance companies | Fewer than 5 | $2,489,311 |
| Corporations or other businesses not listed above | 16 | $60,454,208 |

### Advisory services (Item 5.G)
- 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

### Firm details
- Registered since: 1989 (37 years)
- Employees: 41 total, 25 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/111087

### Websites listed on Form ADV (Item 1.I)
- kornitzercapitalmanagement.com
- LinkedIn @KORNITZER-CAPITAL-MANAGEMENT

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $7,482,597,861 | 35 | June 29, 2021 |
| October 2022 | $7,320,180,191 | 39 | June 29, 2022 |
| October 2023 | $6,371,648,556 | 40 | July 13, 2023 |
| October 2024 | $7,212,926,049 | 40 | June 27, 2024 |
| October 2025 | $6,752,273,410 | 40 | June 26, 2025 |
| October 2026 | $6,491,513,805 | 41 | June 25, 2026 |

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.

## Changes in the filing (last 12 months)

### July 2026
- Employees performing advisory functions went from 24 to 25.
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Kornitzer Capital Management, Inc. (CRD 111087): Form ADV filing data as of October 2026.