KORNITZER CAPITAL MANAGEMENT, INC.

CRD

111087

SEC file #

801-34933

EIN

481069845

DBA names

—

Economics

AUM

$6.75B

AUM band

$1B+

AUM trajectory

'20 · $6.78B

'21 · $5.25B

'22 · $7.48B

'23 · $7.32B

'25 · $6.75B

'26 · $6.75B

'20'26

$6.78B → $6.75B▬ 0%

sec adv history

Client mix

Individuals Other	1,212
Individuals High Net Worth	692
Pension Profit Sharing Plans	69
Charitable Organizations	34
Corporations	16

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 20 advisors

'21 · 20 advisors

'22 · 20 advisors

'23 · 24 advisors

'25 · 24 advisors

'26 · 24 advisors

'20'26

20 advisors → 24 advisors▲ +20%

sec adv history

Primary office

MISSION KS

Branches

—

Custodian & Brokerage

Primary custodian

E*Tradelow confidence

adv brochure

Services offered

Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — businesses

Fee basis

% of AUMFixed fees

Filings

Latest ADV filing

06/26/2025

kornitzercapitalmanagement.com

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

KORNITZER, JOHN, CHARLES

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

KORNITZER, JOHN, CHARLES

MALE, ROBERT, JAMES

Solo Advisor Indicator

Succession Risk Solo Owner

Yes

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

KORNITZERCAPITALMANAGEMENT.COM

Rdap Domain Creation Date

2006-08-18T19:08:36Z

Rdap Firm Age Years

Rdap Firm Age Band

20+y

Rdap Registrar

GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

Yes

Form 5500 Plan Count

Form 5500 Compensation Trajectory 3y

2025	0
2026	0

Form 5500 Plan Count Trajectory 3y

2025	6
2026	2

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0000898358

Edgar Registered

Yes

Edgar Filing Count

456

Edgar First Filing Date

1997-02-13

Edgar Last Filing Date

2026-04-30

Edgar 13f Count

111

Edgar 13f Latest AUM Estimate

Filing Date2026-04-30

Accession0000898358-26-000005

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

E*trade	4
U.s. Bank	1

adv brochure

Edgar Addresses

Mailing

PO BOX 918SHAWNEE MISSION, KS 66201

Business

P O BOX 918SHAWNEE MISSION, KS 66201

Edgar EIN

481069845

Edgar Recent Filings

13F-HR2026-04-30 · 0000898358-26-000005

SCHEDULE 13G/A2026-04-14 · 0000898358-26-000004

Firm Has Custody

Yes

Mailing Office Differs

Yes

Rdap Domain Expiration Date

2026-08-18T19:08:36Z

Rdap Domain Last Changed

2026-05-11T23:20:16Z

Rdap Nameservers

Pdns07.domaincontrol.comPdns08.domaincontrol.com

Rdap Secure Dns Enabled

Yes

Rdap Status

Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited

Top Owner CRD

274070

Trust Company Affiliate

IAR · Direct Owner · 87.5%

People (16)

KORNITZER, JOHN, CHARLES

KOSTER, BARRY, EUGENE

IAR · Executive Officer · 2.5%

4903981

COATS, WILLIAM, FRED

6500371

KORNITZER, ADAM, JOHN

7775599

KORNITZER, NICOLE, MARIE

8123679

Neuberger, Joseph, Carl

6584469

LAURA ANNE SYMON BROWNE