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SEC Filing Agents

   through Tue., 8/15/17

The Top 25 Most-Active Filing Agents¹ in 2017

                          Filings                            Since
#Filing Agent¹SEC CIK² 2017   2016   2015   2014   2013  

In descending order
1Donnelley Financial Solutions/FA119312551,65780,76684,04787,57192,725936,848
2DONNELLEY FINANCIAL SOLUTIONS File16/FA120919130,24642,61649,93945,21437,895569,049
3Merrill Corp-MD/FA110465917,93325,94229,19230,01030,137390,872
4Summit Financial Disclosure, LLC114036115,18921,85923,12523,75824,535265,774
5Toppan Vintage/FA114420414,48723,51526,14428,44828,021362,179
6Computershare Inc/FA112760213,80419,58919,46320,19620,172174,082
7CT's hCue/FA12252087,91311,65213,05614,80814,879148,770
8Davis Polk & Wardwell LLP 01/FA9501037,8519,1749,7589,1617,49385,924
9Section16 Direct/FA11791106,4069,1149,3239,9899,985150,805
10Donnelley Financial Solutions 06/FA8992436,0188,8804,16227,766
11RDG Filings/FA14377495,4577,7687,7217,6567,11048,796
13M2 Compliance/FA14931524,1664,4622,8471,8911,12915,504
14UBS AG11144463,9993,4962,7494,6043,85324,993
15Edgar Agents LLC/FA12139003,7894,3344,2163,6793,03732,256
16Fitzgerald Marketing & Communications, LLC/FA14455463,3505,3755,1715,4754,98043,687
17Workiva Inc. Wdesk FA01/FA16282803,2064,5763,5711811,371
20Vanguard Horizon Funds9324712,9563,3823,1043,0123,31729,695
22Seward & Kissel LLP9195742,7993,7923,9403,8833,84152,725
23Toppan Vite New York Inc./FA15710492,6183,6123,5422,65044412,866
24Securex Filings/FA12146592,5703,5984,2794,1343,34229,401
25Doremus Financial Printing/FA8910922,5433,7874,9394,2574,54948,512
23 Filing Agents¹ — 2 Registrants¹ —
Most-Active Filing Agents¹: 639719773833860
Total Filing Agents¹: 3,5393,4863,3983,3093,204
Total Self-Filing Registrants¹: 26,80934,30733,21731,53728,795
Total Active Registrants¹: 108,145127,960130,189129,079124,078
¹An SEC “filing agent” is an entity submitting a Filing, often either a Registrant (non-bold above) self-filing as the “Filer”/“Issuer” or a registered Filing Agent (in bold herein). An SEC-registered Filing Agent is in the business of submitting Filings for Registrants. Oftentimes their name will have /FA appended to it. You cannot tell whether an SEC filing agent’s CIK² (the 1st part of Accession #s) is that of a Filing Agent or a Registrant, because Registrants may also be (or own) Filing Agents, e.g., R.R. Donnelley, or make Filings for their directors/officers, and Filing Agents may also be Registrants, e.g., some Transfer Agents. Further complicating this, some “parents” submit Filings for their subsidiaries or Funds, and some Money Managers submit Filings for other Money Managers. Our algorithms reconcile this, so we know which of the 175K+ filing agents are “true” Filing Agents and, of those 3K+, which are “pure” (90%) or not (10%). Hover your mouse over a CIK² above to see either if a Filing Agent is “pure” or the ratio of Filings for other Registrants versus for themselves as a Registrant.
²To submit a Filing, an entity must first register with the SEC to receive their SEC CIK. When a Filing is submitted, the Filing’s Accession # includes the CIK.

Proprietary to SEC Info: The SEC does not publish the names of, nor data about, registered Filing Agents.
Try to find Filing Agent #1 (listed above) by entering 0001193125 (its CIK) on the SEC’s “Fast Search” page!

To get detailed information on all registered Filing Agents: Please submit your request on our Help page.


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