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SEC Filing Agents

   as of Saturday, 6/23/18

The Top 25 Most-Active Filing Agents¹ in 2018

FilingsSince
7/15/92
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#  Filing Agent¹SEC CIK² 2018   2017   2016   2015   2014  

In descending order
1
NY
Donnelley Financial Solutions/FA119312539,78576,64080,80184,05387,5781,001,684
2
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DONNELLEY FINANCIAL SOLUTIONS File16/FA120919124,47941,71842,61649,93945,214605,000
3
MN
Merrill Corp-MD/FA110465914,45626,28125,94729,19330,012413,710
4
TX
Broadridge Financial Solutions, Inc.114036113,58722,36221,85923,12523,758286,534
5
NY
Toppan Vintage/FA114420412,11822,49123,54326,16728,448382,362
6
NJ
Computershare Inc/FA112760211,77719,00319,58919,46320,196191,058
7
NY
Davis Polk & Wardwell LLP 01/FA9501037,60612,9559,1749,7589,16198,634
8
NY
CT's hCue/FA12252086,04810,80711,65213,05614,808157,712
9
TX
Donnelley Financial Solutions 06/FA8992435,1658,6878,8804,16235,600
10
TX
Section16 Direct/FA11791104,9838,7789,1149,3239,989158,160
11
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RDG Filings/FA14377494,4427,8177,7687,7217,65655,598
12
TX
ActiveDisclosure/FA15645904,2596,3144,6832,8371,01519,345
13
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M2 Compliance/FA14931524,0906,8224,4642,8471,89122,252
14
NJ
Edgar Agents LLC/FA12139003,3656,0334,3374,2163,67937,868
15
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UBS AG11144463,1746,1103,4962,7494,60430,278
16
PA
Vanguard Horizon Funds9324712,9213,5413,3823,1043,01233,201
17
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Blueprint/FA16549542,9074,8811,9389,726
18
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Workiva Inc. Wdesk FA01/FA16282802,8854,6814,5783,5711815,733
19
DE
Bif Money Fund2154572,6251,9303,0387778,414
20
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Fitzgerald Marketing & Communications, LLC/FA14455462,6205,0975,3755,1715,47548,056
21
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FilePoint/FA13983442,5284,8054,3713,6452,83025,029
22
CA
Globenewswire Inc./FA11718432,2743,7133,2493,3312,88227,329
23
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Securex Filings/FA12146592,2663,7933,5994,2794,13432,891
24
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Solium Capital Inc15621802,1642,6591,889671187,402
25
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S2 Filings LLC/FA16157742,1373,0662,3121,5092249,248
23 Filing Agents¹ — 2 Registrants²
Most-Active Filing Agents: 574687729779839
Total Filing Agents: 3,6063,5573,4793,3923,305
Self-Filing Registrants: 23,75035,72434,31333,21731,537
Active Registrants: 96,375131,782128,869131,068130,068
________
¹An SEC “filing agent” is an 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 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 Registrant, because Registrants may be (or own) Filing Agents, e.g., Donnelley Financial Solutions, or do Filings for their directors/officers, and Filing Agents may 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 180K+ 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 of the “filing agent”. This filing agent may be a “true” Filing Agent or a Registrant who is self-filing or filing as an agent for another Registrant.

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 see all registered Filing Agents or get detailed information on them: Please submit your request on our Help page or call us
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at +1 925-719-1680. For Filing Agents, it’s great for “new business” prospecting.

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