KORNITZER CAPITAL MANAGEMENT, INC. of MISSION, KS is an SEC-registered investment adviser (CRD 111087). Regulatory assets under management: $6.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| LAMING THOMAS WHITSED | SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT, STOCKHOLDER | — |
| KORNITZER JOHN CHARLES | CHAIRMAN, STOCKHOLDER, DIRECTOR; PRESIDENT; PRESIDENT, STOCKHOLDER (+1 more) | — |
| GASAWAY KENT WILLIAM | PORTFOLIO MANAGER, STOCKHOLDER; SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT, STOCKHOLDER | — |
| LYNCH WILLARD ROWEN | STOCKHOLDER | — |
| MALE ROBERT JAMES | PORTFOLIO MANAGER, STOCKHOLDER; SENIOR VICE PRESIDENT, STOCKHOLDER | — |
| KOSTER BARRY EUGENE | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | — |
| MCELWAIN SUSAN ELAINE | DIRECTOR OF OPERATIONS, STOCKHOLDER; SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT, STOCKHOLDER | — |
| BRETHOUR CLAY ERIC | CHIEF COMPLIANCE OFFICER | — |
| COATS WILLIAM FRED | CHIEF COMPLIANCE OFFICER | — |
| Neuberger Joseph Carl | PRESIDENT; PRESIDENT, DIRECTOR | — |
| SYMON BROWNE LAURA ANNE | DIRECTOR | — |
| KORNITZER ADAM JOHN | DIRECTOR | — |
| KORNITZER ADAM | DIRECTOR | — |
| William Fred Coats | CHIEF COMPLIANCE OFFICER | — |
| John Charles Kornitzer | CHAIRMAN, STOCKHOLDER, DIRECTOR | — |
| Barry Eugene Koster | CHIEF FINANCIAL OFFICER | — |
| Joseph Carl Neuberger | PRESIDENT, DIRECTOR | — |
| Laura Anne Symon Browne | DIRECTOR | — |
| Adam John Kornitzer | DIRECTOR | — |
| Nicole Marie Kornitzer | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-05-22 | regulatory | PROCEEDING RELATED TO CERTAIN ALLEGED VIOLATIONS OF SECTION 206(2) AND SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 206(4)-7 THEREUNDER. ALLEGATIONS RELATED TO FAILURE TO FOLLOW CLIENT INSTRUCTIONS AND FAILURE TO ADOPT AND IMPLEMENT POLICIES AND PROCEDURES TO PREVENT THE ALLEGED VI… | Final | $2.7M |