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KORNITZER CAPITAL MANAGEMENT, INC.
CRD 111087File 801-34933
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jun 25, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$6.49B
Top 25% of cohort (national)
Discretionary AUM
$6.36B
Non-discretionary $126.7M
Clients
2,008
5,080 accounts
Employees
41
Top 10% of cohort in KS
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- DRO
- Registration date
- Aug 4, 1989
- Principal office
- 5420 WEST 61ST PLACE, MISSION, KS, 66205-3084
- Phone
- 913-677-7778
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $6.49B
- Discretionary AUM
- $6.36B
- Non-discretionary AUM
- $126.7M
- Discretionary accounts
- 4,792
- Non-discretionary accounts
- 288
- Total accounts
- 5,080
- AUM per client
- $3.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 16 | $60.5M |
| Insurance companies | Fewer than 5 | $2.5M |
| Investment companies | 10 | $3.30B |
| Charitable organizations | 32 | $75.5M |
| High net worth individuals | 700 | $2.85B |
| Pension and profit sharing plans | 62 | $87.9M |
| Individuals (other than high net worth individuals) | 1,188 | $121.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C1
- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Jul 1, 2026 | Employees | 40 | 41 | increased by1 |
| Jul 1, 2026 | Clients | 2,033 | 2,008 | decreased by25 |
| Jul 1, 2026 | AUM | $6,752,273,410 | $6,491,513,805 | decreased by$260,759,605 |
| Jul 1, 2026 | Accounts | 5,127 | 5,080 | decreased by47 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 1,970 | 2,033 | increased by63 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $7,212,926,049 | $6,752,273,410 | decreased by$460,652,639 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 5,032 | 5,127 | increased by95 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 39 | 40 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,966 | 1,970 | increased by4 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $7,320,180,191 | $7,212,926,049 | decreased by$107,254,142 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 4,983 | 5,032 | increased by49 |
| Jul 1, 2022 | Employees | 35 | 39 | increased by4 |
| Jul 1, 2022 | Clients | 1,980 | 1,966 | decreased by14 |
| Jul 1, 2022 | AUM | $7,482,597,861 | $7,320,180,191 | decreased by$162,417,670 |
| Jul 1, 2022 | Accounts | 4,931 | 4,983 | increased by52 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “KORNITZER CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“KORNITZER CAPITAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.