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Investment Adviser Firm Summary

KORNITZER CAPITAL MANAGEMENT, INC. (CRD# 111087 / SEC# 801-34933)

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/04/1989

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.


JURISDICTION EFFECTIVE DATE
Alabama 02/19/1992
Arizona 02/14/2005
Arkansas 11/17/2008
California 08/18/1992
Connecticut 02/14/2005
Delaware 06/25/2015
Florida 05/22/1992
Georgia 02/14/2005
Idaho 06/24/2016
Illinois 05/14/2001
Indiana 01/13/2012
Kansas 09/25/1989
Louisiana 06/12/2001
Maine 06/24/2016
Maryland 10/15/1992
Massachusetts 04/25/1994
Michigan 02/14/2005
Minnesota 06/27/2013
Mississippi 11/17/2008
Missouri 01/22/1992
Montana 06/27/2014
Nebraska 01/13/2012
Nevada 11/17/2008
New Hampshire 04/27/2001
New Jersey 10/05/1992
New Mexico 01/10/2007
New York 04/08/1998
North Carolina 04/27/2001
Ohio 04/27/2001
Oklahoma 01/10/2007
Oregon 06/24/2016
Pennsylvania 06/30/1992
South Carolina 02/14/2005
South Dakota 06/28/2017
Tennessee 01/22/1998
Texas 09/03/1991
Vermont 10/24/1994
Virginia 06/30/1992
Washington 11/17/2008
West Virginia 06/27/2014
Wisconsin 11/17/2008

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