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Investment Adviser Firm Summary
KORNITZER CAPITAL MANAGEMENT, INC. ( CRD # 111087/SEC#:801-34933 )
KORNITZER CAPITAL MANAGEMENT INC, KORNITZER CAPITAL MANAGEMENT, INC.

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved8/4/1989
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama2/19/1992
Arizona2/14/2005
Arkansas11/17/2008
California8/18/1992
Connecticut2/14/2005
Delaware6/25/2015
District of Columbia6/29/2021
Florida5/22/1992
Georgia2/14/2005
Idaho6/24/2016
Illinois5/14/2001
Indiana1/13/2012
Kansas9/25/1989
Louisiana6/12/2001
Maine6/24/2016
Maryland10/15/1992
Massachusetts4/25/1994
Michigan2/14/2005
Minnesota6/27/2013
Mississippi11/17/2008
Missouri1/22/1992
Montana6/27/2014
Nebraska1/13/2012
Nevada11/17/2008
New Hampshire4/27/2001
New Jersey10/5/1992
New Mexico1/10/2007
New York4/8/1998
North Carolina4/27/2001
Ohio4/27/2001
Oklahoma1/10/2007
Oregon6/24/2016
Pennsylvania6/30/1992
South Carolina2/14/2005
South Dakota6/28/2017
Tennessee1/22/1998
Texas9/3/1991
Vermont10/24/1994
Virginia6/30/1992
Washington11/17/2008
West Virginia6/27/2014
Wisconsin11/17/2008
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.