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SEC Filing Agents

The
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25 Most-Active Filing Agents¹ in 2021

As of   Saturday, 3/6/21

FilingsSince
7/6/92
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#  Filing Agent¹SEC CIK² 2021   2020   2019   2018   2017      
 
In descending order
1  
 NY
 
Donnelley Financial Solutions – 119312512,867  62,398  62,954  71,681  76,677  1,171,854
2  
 TX
 
Toppan Merrill – 110465912,752  53,231  27,945  26,337  26,287  519,532
3  
 DC
 
DONNELLEY FINANCIAL SOLUTIONS File16 – 120919111,401  40,050  38,303  39,734  41,718  710,009
4  
 PA
 
Confluence Technologies Inc – 17527246,715  37,689  15,554  440  –  60,398
5  
 CA
 
Edgar Agents LLC – 12139005,838  19,142  10,809  7,718  6,055  78,033
6  
 NJ
 
Computershare Inc – 11276025,158  17,245  19,951  21,258  19,003  242,893
7  
 NY
 
Davis Polk & Wardwell LLP 01 – 9501033,541  24,834  18,014  15,227  12,959  152,649
8  
 TX
 
ActiveDisclosure – 15645903,537  18,255  14,255  8,538  6,316  59,674
9  
 TX
 
Donnelley Financial Solutions 06 – 8992433,368  11,363  9,586  9,235  8,687  63,987
10  
 NY
 
Broadridge Financial Solutions, Inc. – 15676193,144  11,973  12,931  4,822  903  35,413
11  
 DE
 
Blackrock Global Allocation Fund, Inc. – 8342372,744  3,218  152  –  –  6,145
12  
 NY
 
CT's hCue – 12252082,694  8,470  9,000  9,459  10,807  181,287
13  
 PA
 
DFIN Solutions FundSuiteArc – 11455492,642  13,412  5,925  3,482  3,628  64,269
14  
 TX
 
Broadridge Financial Solutions, Inc. – 11403612,545  10,562  8,189  19,890  22,362  314,133
15  
 CA
 
M2 Compliance – 14931522,469  11,263  9,029  8,273  6,832  49,209
16  
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UBS AG – 11144462,166  7,169  4,499  5,729  6,110  46,667
17  
 CA
 
RDG Filings – 14377491,882  9,173  8,716  8,177  7,825  79,114
18  
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Quality Edgar - QES – 18398821,779  –  –  –  –  1,779
19  
 TX
 
Section16 Direct – 11791101,701  6,706  7,161  7,884  8,778  176,629
20  
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Solium Capital Inc – 15621801,566  5,514  4,567  3,583  2,659  20,468
21  
 CO
 
Securex Filings – 12146591,400  5,229  3,956  3,985  3,793  45,195
22  
 NC
 
FilePoint – 13983441,362  6,108  5,366  5,030  4,809  40,375
23  
 CA
 
Rahman Ahmad – 14810571,318  720  111  –  –  2,149
24  
 IA
 
Workiva Inc. Wdesk FA01 – 16282801,163  5,622  4,950  5,385  4,685  29,972
25  
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Newsfile Corp – 10629931,149  3,089  2,268  2,432  2,434  44,266
 23 Filing Agents¹ — 2 Registrants²
 
Most-Active “True” Filing Agents³:    437603640662713
Total “True” Filing Agents³:    3,7713,7543,6793,6043,529
 
Self-Filing Registrants:    15,43039,65838,57137,28035,728
Active Registrants:     68,265 133,247 130,570 130,015 131,812
________
 ¹  An SEC “filing agent” is the entity submitting a Filing, often either a Registrant self-filing as the “Filer/Issuer” (non-bold above) or a registered Filing Agent (in bold herein).  An SEC-registered Filing Agent is in the business of submitting Filings for other Registrants.  You cannot tell whether an SEC filing agent’s CIK² is that of a Filing Agent or a Registrant, because Registrants may be (or own) Filing Agents (e.g., Donnelley Financial Solutions) or submit Filings for their directors/officers, and Filing Agents may be Registrants for other purposes (e.g., some Transfer Agents).  Further complicating this, some “parents” submit Filings for their subsidiaries, Funds/ETFs or ABSs, and some Money Managers submit Filings for other related Money Managers.  Our algorithms reconcile all of this, so we can determine which of the 180K+ historic filing agents are “true” Filing Agents and, of those 3K+, which are “pure” (90%) or not (10%).  We consider a Registrant to be a “true” Filing Agent when they either have done Filings only for others or have done 32+ Filings for others for each Filing they did for themself as a “Filer/Issuer”.  Hover your mouse over a CIK² above to see either if a filing agent is a “pure” Filing Agent (when all of their Filings have been for other Registrants) or the ratio of Filings for others versus for themself as a Registrant.
 ²  To submit a Filing, an entity must first register with the SEC to receive an SEC Central Index Key (“CIK”).  When a Filing is submitted, the CIK of the “filing agent” is used, and it may differ from that of the “Filer/Issuer”.  The submitting filing agent may be a “true” Filing Agent or a Registrant who is self-filing or filing for a related Registrant.
 ³  Some “true” Filing Agents are not listed here.  They are paying us to remain “anonymous” for competitive reasons, mostly to protect their client lists from easy access.

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that has SEC Filing Agents Info!
Proprietary to SEC Info:  The SEC does not publish the names of, nor data about, registered Filing Agents.  Try to find Filing Agent #1 by entering  0001193125  (its CIK) in the SEC’s Company and Person Lookup!
 
To see more or all registered Filing Agents or get information on them:  Please submit your request on our Help page or call us
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at +1 415-420-4604.  For Filing Agents, it’s great for “new business” prospecting.

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