DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Kornitzer Capital Management, Inc.
Latest filing Jun 25, 2026
First filing on the tape Jan 13, 2012 · 27 filings
SEC status approved since Aug 4, 1989
RAUM
$6.5B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
46%
$3.0B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$649M
derived; firm RAUM over IAPD count
Employees
41
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$6.5B as of Jun 25, 2026
Jun 28, 2012$7.8B then
HNW client RAUM$2.8B as of Jun 25, 2026
Jun 25, 2018$1.9B then
State-registered IARs (5.B.3)10 as of Jun 25, 2026
Jun 28, 20120 then
Employees (5.A)41 as of Jun 25, 2026
Jun 27, 201346 then
Private funds: no history
RAUM +1.9% over the last fiscal year-4.6% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Jun 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $649MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 189derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.1derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.3B51%
- High-net-worth individuals$2.8B44%
- Individuals$122M1.9%
- Pension and profit-sharing plans$87.9M1.4%
- Charitable organizations$75.5M1.2%
- Corporations and businesses$60.5M0.9%
- Insurance companies$2.5M0.0%
- Individual clients
- 1,188reported
- HNW clients
- 700reported
- Pension plan clients
- 62reported
- Charitable clients
- 32reported
- Accounts
- 5,080reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.46 fund_share=0.51 institutional_share=0.03 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Charles Kornitzer | Shawnee Mission, Ks | Sep 25, 1989 | 37 y | 0 |
| Kent William Gasaway | Shawnee Mission, Ks | Jul 28, 1994 | 34 y | 0 |
| Barry Eugene KosterPersonal Financial Specialist | Mission, Ks | Jan 25, 2005 | 24 y | 0 |
| John Alan ShepleyChartered Financial Analyst | Mission, Ks | Jun 6, 2005 | 34 y | 1 |
| Christopher Crawford | Mission, Ks | Mar 8, 2018 | 12 y | 1 |
| Matthew Dwayne IsonChartered Financial Analyst | Mission, Ks | Jun 17, 2021 | 19 y | 2 |
| Nathaniel Timothy SoulisChartered Financial Analyst | Mission, Ks | Jul 1, 2021 | 22 y | 1 |
| Christopher Neal CarterChartered Financial Analyst | Mission, Ks | Jul 12, 2021 | 15 y | 0 |
| James C Shay | Mission, Ks | Oct 26, 2023 | 10 y | 2 |
| Conner Mikel EnsignChartered Financial Analyst | Mission, Ks | Jul 15, 2025 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Dwight Earl Twillman to Fisher InvestmentsJun 24, 2013 · Other
- Thomas Whitsed Laming to Trendstar Advisors, LLCSep 30, 2003 · Other
Joined, latest
- James C Shay from UBS Financial Services Inc.Oct 26, 2023 · Wirehouse to independent RIA
- Nathaniel Timothy Soulis from Country Club Financial Services, Inc.Jul 1, 2021 · Other
- Matthew Dwayne Ison from Rubinbrown Advisors LLCJun 17, 2021 · RIA to RIA
- Christopher Crawford from Invesco Advisers, Inc.Mar 8, 2018 · Other
- John Alan Shepley from Tom Johnson Investment Management, LLCJun 6, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Fred William Coats · Chief Compliance Officercontrolsince 05/2015 · owns less than 5%
- John Adam Kornitzer · Directorcontrolsince 05/2023 · owns less than 5%
- Charles John Kornitzer · Chairman, Stockholder, Directorcontrolsince 05/1989 · owns 75% or more
- Marie Nicole Kornitzer · Directorcontrolsince 05/2025 · owns less than 5%
- Eugene Barry Koster · Chief Financial Officer Officercontrolsince 05/2002 · owns less than 5%
- Carl Joseph Neuberger · President, Directorcontrolsince 10/2022 · owns less than 5%
- Anne Laura Symon Browne · Directorcontrolsince 05/2023 · owns less than 5%
- James Robert Male · Portfolio Manager, Stockholdersince 12/2003 · owns 5% to 10%
Related persons
Schedule D 7.A
- Great Plains Trust Companycustodiann
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mission, Ks · principal | 8 | 0 | 0 | ||
| Shawnee Mission, Ks | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 25, 2026KORNITZER, NICOLE, MARIE (DIRECTOR) appeared on Schedule A between the filings of 2023-06-27 and 2026-06-25peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 25, 2026COATS, WILLIAM, FRED (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-06-27 and 2026-06-25peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 5,127 to 5,080Jun 26, 2025 to Jun 25, 2026
- Advisory employees · 24 to 25Jun 26, 2025 to Jun 25, 2026
- Charity clients · 34 to 32Jun 26, 2025 to Jun 25, 2026
- HNW clients · 692 to 700Jun 26, 2025 to Jun 25, 2026
- Individual clients · 1,212 to 1,188Jun 26, 2025 to Jun 25, 2026
- Pension plan clients · 69 to 62Jun 26, 2025 to Jun 25, 2026
- Employees · 40 to 41Jun 26, 2025 to Jun 25, 2026
- State-registered IARs · 11 to 10Jun 26, 2025 to Jun 25, 2026
- Discretionary RAUM · $6.6B to $6.4BJun 26, 2025 to Jun 25, 2026
- HNW RAUM · $2.7B to $2.8BJun 26, 2025 to Jun 25, 2026
- Individual RAUM · $127M to $122MJun 26, 2025 to Jun 25, 2026
- Non-discretionary RAUM · $110M to $127MJun 26, 2025 to Jun 25, 2026
- Pension RAUM · $91.0M to $87.9MJun 26, 2025 to Jun 25, 2026
- RAUM · $6.8B to $6.5BJun 26, 2025 to Jun 25, 2026
- Accounts · 5,032 to 5,127Jun 27, 2024 to Jun 26, 2025
- Advisory employees · 23 to 24Jun 27, 2024 to Jun 26, 2025
- Charity clients · 32 to 34Jun 27, 2024 to Jun 26, 2025
- Corporate clients · 17 to 16Jun 27, 2024 to Jun 26, 2025
- Individual clients · 1,142 to 1,212Jun 27, 2024 to Jun 26, 2025
- Pension plan clients · 77 to 69Jun 27, 2024 to Jun 26, 2025
- Financial planning clients · 0 to 0Jun 27, 2024 to Jun 26, 2025
- Discretionary RAUM · $7.1B to $6.6BJun 27, 2024 to Jun 26, 2025
- HNW RAUM · $2.6B to $2.7BJun 27, 2024 to Jun 26, 2025
- Individual RAUM · $116M to $127MJun 27, 2024 to Jun 26, 2025
- Non-discretionary RAUM · $78.4M to $110MJun 27, 2024 to Jun 26, 2025
- Pension RAUM · $84.7M to $91.0MJun 27, 2024 to Jun 26, 2025
- RAUM · $7.2B to $6.8BJun 27, 2024 to Jun 26, 2025
- Accounts · 4,954 to 5,032Jul 13, 2023 to Jun 27, 2024
- Charity clients · 35 to 32Jul 13, 2023 to Jun 27, 2024
- Corporate clients · 15 to 17Jul 13, 2023 to Jun 27, 2024
- HNW clients · 634 to 692Jul 13, 2023 to Jun 27, 2024
- Individual clients · 1,182 to 1,142Jul 13, 2023 to Jun 27, 2024
- Pension plan clients · 88 to 77Jul 13, 2023 to Jun 27, 2024
- HQ city · SHAWNEE MISSION to MISSIONJul 13, 2023 to Jun 27, 2024
- State-registered IARs · 10 to 11Jul 13, 2023 to Jun 27, 2024
- Discretionary RAUM · $6.3B to $7.1BJul 13, 2023 to Jun 27, 2024
- HNW RAUM · $2.3B to $2.6BJul 13, 2023 to Jun 27, 2024
- Individual RAUM · $130M to $116MJul 13, 2023 to Jun 27, 2024
- Non-discretionary RAUM · $71.1M to $78.4MJul 13, 2023 to Jun 27, 2024
- Pension RAUM · $89.4M to $84.7MJul 13, 2023 to Jun 27, 2024
Signals
3 dated events
- Carl Joseph Neuberger (President) appeared on Schedule A of Kornitzer Capital Management, Inc.Oct 27, 2022 · Control person joined · fact
- William Kent Gasaway (Portfolio Manager, Stockholder) no longer on Schedule A of Kornitzer Capital Management, Inc. (listed 2022-06-29, absent 2022-10-27)Oct 27, 2022 · Control person left · inference
- Kornitzer Capital Management, Inc. reported RAUM $7.5B, up 43% from $5.2B (2020-06-29 to 2021-06-29)Jun 29, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 913-677-7778reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/KORNITZER-CAPITAL-MANAGEMENTreportedpublic record, Form ADV, Sep 17, 2026
- Website
- KORNITZERCAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 913-677-7778reportedpublic record, Form ADV, Jun 25, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $649Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026