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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

KORNITZER CAPITAL MANAGEMENT, INC.

CRD 111087

MISSION, KS

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:78bf1d71-b496-2896-68b4-a299242aba91

Data as of Jun 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 3
On other graphs: 0
Observed: Jan 13, 2012 to Jun 25, 2026
27 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.46 fund_share=0.51 institutional_share=0.03 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $6.5BItem 5.F on the latest filing (2026-06-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.4B
Private client RAUM: $3.0BderivedItem 5.D individuals plus high net worth individuals
Private client share: 46%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $649Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 41
Advisory employees: 25
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 5,080
Individual clients: 1,188
High net worth clients: 700
Custody, client assets: $0
SEC number: 801-34933
CIK: 898358
CRD: 111087
Filings on the tape: 27
First filed: Jan 13, 2012
Latest filed: Jun 25, 2026
Organised: Corporation, KS
Website: kornitzercapitalmanagement.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOHN CHARLES KORNITZER	n/a	SHAWNEE MISSION, KS	36	37	n/a	no
KENT WILLIAM GASAWAY	n/a	SHAWNEE MISSION, KS	32	34	n/a	no
BARRY EUGENE KOSTER	Personal Financial Specialist	MISSION, KS	21	24	n/a	no
JOHN ALAN SHEPLEY	Chartered Financial Analyst	MISSION, KS	21	34	1	no
Christopher Crawford	n/a	MISSION, KS	8	12	1	yes
MATTHEW DWAYNE ISON	Chartered Financial Analyst	MISSION, KS	5	19	2	no
NATHANIEL TIMOTHY SOULIS	Chartered Financial Analyst	MISSION, KS	5	22	1	no
Christopher Neal Carter	Chartered Financial Analyst	MISSION, KS	5	15	n/a	no
JAMES C SHAY	n/a	MISSION, KS	2	10	2	no
Conner Mikel Ensign	Chartered Financial Analyst	MISSION, KS	1	10	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KORNITZER, ADAM, JOHN	Director	Na	yes	05/2023	Jun 25, 2026	Jun 25, 2026
KORNITZER, JOHN, CHARLES	CHAIRMAN, STOCKHOLDER, DIRECTOR	E	yes	05/1989	Jun 25, 2026	Jun 25, 2026
KORNITZER, NICOLE, MARIE	Director	Na	yes	05/2025	Jun 25, 2026	Jun 25, 2026
KOSTER, BARRY, EUGENE	CHIEF FINANCIAL OFFICER OFFICER	Na	yes	05/2002	Jun 25, 2026	Jun 25, 2026
Neuberger, Joseph, Carl	PRESIDENT, DIRECTOR	Na	yes	10/2022	Jun 25, 2026	Jun 25, 2026
SYMON BROWNE, LAURA, ANNE	Director	Na	yes	05/2023	Jun 25, 2026	Jun 25, 2026
COATS, WILLIAM, FRED	CHIEF COMPLIANCE OFFICER	Na	yes	05/2015	May 27, 2015	Jun 27, 2024
MALE, ROBERT, JAMES	PORTFOLIO MANAGER, STOCKHOLDER	A	no	12/2003	Jan 13, 2012	Jun 27, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
GREAT PLAINS TRUST COMPANY	n/a	n/a	n/a	N	yes	Ks

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Jun 27, 2024	$7.2B	$7.1B	40	23	0	n/a	n/a
2023	Jun 27, 2023	$6.4B	$6.3B	40	23	0	n/a	n/a
2022	Jun 29, 2022	$7.3B	$7.2B	39	24	0	n/a	n/a
2021	Jun 29, 2021	$7.5B	$7.4B	35	20	0	n/a	n/a
2020	Jun 29, 2020	$5.2B	$5.2B	35	20	0	n/a	n/a
2019	Jun 26, 2019	$6.8B	$6.7B	35	20	0	n/a	n/a
2018	Jun 25, 2018	$7.0B	$7.0B	36	20	0	n/a	n/a
2017	Jun 28, 2017	$6.8B	$6.8B	39	23	n/a	n/a	n/a
2016	Jun 24, 2016	$7.2B	$7.2B	41	23	n/a	n/a	n/a
2015	Jun 25, 2015	$10.0B	$10.0B	41	23	n/a	n/a	n/a
2014	Jun 27, 2014	$11B	$11B	42	25	n/a	n/a	n/a
2013	Jun 27, 2013	$8.9B	$8.9B	46	23	n/a	n/a	n/a
2012	Jun 28, 2012	$7.8B	$7.8B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$6.5B	$6.4B	1.9%	$7.5B	-4.6%	41	40	0	0

Relationships

Registered with (12)

← Conner Mikel EnsignAdvisorregistration: current employment
Jul 15, 2025 to presentfactForm ADV
← JAMES C SHAYAdvisorregistration: current employment
Oct 26, 2023 to presentfactForm ADV
← Christopher Neal CarterAdvisorregistration: current employment
Jul 12, 2021 to presentfactForm ADV
← NATHANIEL TIMOTHY SOULISAdvisorregistration: current employment
Jul 1, 2021 to presentfactForm ADV
← MATTHEW DWAYNE ISONAdvisorregistration: current employment
Jun 17, 2021 to presentfactForm ADV
← Christopher CrawfordAdvisorregistration: current employment
Mar 8, 2018 to presentfactForm ADV
← JOHN ALAN SHEPLEYAdvisorregistration: current employment
Jun 6, 2005 to presentfactForm ADV
← BARRY EUGENE KOSTERAdvisorregistration: current employment
Jan 25, 2005 to presentfactForm ADV
← KENT WILLIAM GASAWAYAdvisorregistration: current employment
Jul 28, 1994 to presentfactForm ADV
← JOHN CHARLES KORNITZERAdvisorregistration: current employment
Sep 25, 1989 to presentfactForm ADV
← DWIGHT EARL TWILLMANAdvisorregistration: previous registration
Nov 24, 2008 to Jun 24, 2013factForm ADV
← THOMAS WHITSED LAMINGAdvisorregistration: previous registration
Oct 10, 1994 to Sep 30, 2003factForm ADV

Owns (1)

← MALE, ROBERT, JAMESOwnerPORTFOLIO MANAGER, STOCKHOLDER, ownership code A, individual
Jan 13, 2012 to Jun 27, 2024factForm ADV

Controls (6)

← KORNITZER, JOHN, CHARLESOwnerCHAIRMAN, STOCKHOLDER, DIRECTOR, ownership code E, individual
Jan 13, 2012 to Jun 27, 2024factForm ADV
← SYMON BROWNE, LAURA, ANNEOwnerDIRECTOR, ownership code NA, individual
Jun 27, 2023 to Jun 27, 2024factForm ADV
← KOSTER, BARRY, EUGENEOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 13, 2012 to Jun 27, 2024factForm ADV
← COATS, WILLIAM, FREDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 27, 2015 to Jun 27, 2024factForm ADV
← Neuberger, Joseph, CarlOwnerPRESIDENT, DIRECTOR, ownership code NA, individual
Oct 27, 2022 to Jun 27, 2024factForm ADV
← KORNITZER, ADAM, JOHNOwnerDIRECTOR, ownership code NA, individual
Jun 27, 2023 to Jun 27, 2024factForm ADV

Dated events

Occurred
Oct 27, 2022
Control person joined
Carl Joseph Neuberger (President) appeared on Schedule A of Kornitzer Capital Management, Inc.
Form ADVobserved 6 days ago
Occurred
Oct 27, 2022
Control person left
William Kent Gasaway (Portfolio Manager, Stockholder) no longer on Schedule A of Kornitzer Capital Management, Inc. (listed 2022-06-29, absent 2022-10-27)
Form ADVobserved 6 days ago
Occurred
Jun 29, 2021
Regulatory AUM changed
Kornitzer Capital Management, Inc. reported RAUM $7.5B, up 43% from $5.2B (2020-06-29 to 2021-06-29)
Form ADVobserved 6 days ago
$2.2B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:78bf1d71-b496-2896-68b4-a299242aba91
First observed: Jan 13, 2012
Last observed: Jun 25, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

KORNITZER CAPITAL MANAGEMENT, INC.

CRD 111087

MISSION, KS

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:78bf1d71-b496-2896-68b4-a299242aba91

Data as of Jun 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:40 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOHN CHARLES KORNITZER

n/a

SHAWNEE MISSION, KS

n/a

KENT WILLIAM GASAWAY

n/a

SHAWNEE MISSION, KS

n/a

BARRY EUGENE KOSTER

Personal Financial Specialist

MISSION, KS

n/a

JOHN ALAN SHEPLEY

Chartered Financial Analyst

MISSION, KS

Christopher Crawford

n/a

MISSION, KS

yes

MATTHEW DWAYNE ISON

Chartered Financial Analyst

MISSION, KS

NATHANIEL TIMOTHY SOULIS

Chartered Financial Analyst

MISSION, KS

Christopher Neal Carter

Chartered Financial Analyst

MISSION, KS

n/a

JAMES C SHAY

n/a

MISSION, KS

Conner Mikel Ensign

Chartered Financial Analyst

MISSION, KS

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KORNITZER, ADAM, JOHN

Director

yes

05/2023

Jun 25, 2026

KORNITZER, JOHN, CHARLES

CHAIRMAN, STOCKHOLDER, DIRECTOR

yes

05/1989

Jun 25, 2026

KORNITZER, NICOLE, MARIE

Director

yes

05/2025

Jun 25, 2026

KOSTER, BARRY, EUGENE

CHIEF FINANCIAL OFFICER OFFICER

yes

05/2002

Jun 25, 2026

Neuberger, Joseph, Carl

PRESIDENT, DIRECTOR

yes

10/2022

Jun 25, 2026

SYMON BROWNE, LAURA, ANNE

Director

yes

05/2023

Jun 25, 2026

COATS, WILLIAM, FRED

CHIEF COMPLIANCE OFFICER

yes

05/2015

May 27, 2015

Jun 27, 2024

MALE, ROBERT, JAMES

PORTFOLIO MANAGER, STOCKHOLDER

12/2003

Jan 13, 2012

Jun 27, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GREAT PLAINS TRUST COMPANY

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Jun 27, 2024

$7.2B

$7.1B

n/a

2023

Jun 27, 2023

$6.4B

$6.3B

n/a

2022

Jun 29, 2022

$7.3B

$7.2B

n/a

2021

Jun 29, 2021

$7.5B

$7.4B

n/a

2020

Jun 29, 2020

$5.2B

n/a

2019

Jun 26, 2019

$6.8B

$6.7B

n/a

2018

Jun 25, 2018

$7.0B

n/a

2017

Jun 28, 2017

$6.8B

n/a

2016

Jun 24, 2016

$7.2B

n/a

2015

Jun 25, 2015

$10.0B

n/a

2014

Jun 27, 2014

$11B

n/a

2013

Jun 27, 2013

$8.9B

n/a

2012

Jun 28, 2012

$7.8B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$6.5B

$6.4B

1.9%

$7.5B

-4.6%