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SEC Filing Agents

   through Sunday, 10/15/17

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/FA119312561,87180,78084,04787,57292,725947,077
2DONNELLEY FINANCIAL SOLUTIONS File16/FA120919135,12342,61649,93945,21437,895573,926
3Merrill Corp-MD/FA110465921,50125,94429,19230,01030,137394,442
4Summit Financial Disclosure, LLC114036118,17321,85923,12523,75824,535268,758
5Toppan Vintage/FA114420417,59023,52426,14428,44828,021365,291
6Computershare Inc/FA112760215,94219,58919,46320,19620,172176,220
7Davis Polk & Wardwell LLP 01/FA9501039,8929,1749,7589,1617,49387,965
8CT's hCue/FA12252089,15811,65213,05614,80814,879150,015
9Section16 Direct/FA11791107,3929,1149,3239,9899,985151,791
10Donnelley Financial Solutions 06/FA8992437,0918,8804,16228,839
11RDG Filings/FA14377496,3137,7687,7217,6567,11049,652
12M2 Compliance/FA14931525,1104,4622,8471,8911,12916,448
13UBS AG11144464,9573,4962,7494,6043,85325,951
15Edgar Agents LLC/FA12139004,5514,3364,2163,6793,03733,020
16Fitzgerald Marketing & Communications, LLC/FA14455464,1225,3755,1715,4754,98044,459
20Workiva Inc. Wdesk FA01/FA16282803,6884,5763,5711811,853
21Vanguard Horizon Funds9324713,2613,3823,1043,0123,31730,000
22Seward & Kissel LLP9195743,2343,7923,9403,8833,84153,160
23Doremus Financial Printing/FA8910923,1933,7874,9394,2584,55049,164
24Securex Filings/FA12146593,0293,5984,2794,1343,34229,860
25RR DONNELLEY FundSuiteArc/FA11455492,9494,4464,3784,8224,77138,129
23 Filing Agents¹ — 2 Registrants¹ —
Most-Active Filing Agents¹: 664727777836862
Total Filing Agents¹: 3,5543,4873,3983,3103,204
Total Self-Filing Registrants¹: 30,54634,31133,21731,53728,795
Total Active Registrants¹: 117,853127,970130,190129,079124,078
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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