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SEC Filing Agents

   as of Saturday, 9/15/18

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/FA119312554,26376,65380,80484,05387,5781,016,179
2
DC
DONNELLEY FINANCIAL SOLUTIONS File16/FA120919131,59941,71842,61649,93945,214612,120
3
MN
Merrill Corp-MD/FA110465919,63726,28225,94729,19330,012418,892
4
TX
Broadridge Financial Solutions, Inc.114036117,16622,36221,85923,12523,758290,113
5
NY
Toppan Vintage/FA114420416,96622,49823,54326,16728,448387,217
6
NJ
Computershare Inc/FA112760215,01919,00319,58919,46320,196194,300
7
NY
Davis Polk & Wardwell LLP 01/FA95010310,68812,9599,1749,7599,161101,721
8
NY
CT's hCue/FA12252087,47410,80711,65213,05614,808159,138
9
TX
Donnelley Financial Solutions 06/FA8992437,1368,6878,8804,16237,571
10
TX
Section16 Direct/FA11791106,3548,7789,1149,3239,989159,531
11
TX
ActiveDisclosure/FA15645906,2166,3154,6842,8371,01521,304
12
CA
RDG Filings/FA14377496,1797,8197,7687,7217,65657,337
13
CA
M2 Compliance/FA14931525,9846,8294,4642,8471,89124,153
14
NJ
Edgar Agents LLC/FA12139005,2876,0514,3374,2163,67939,808
15
Flag of Switzerland emoji
UBS AG11144464,4406,1103,4962,7494,60431,544
16
NC
Blueprint/FA16549544,2994,8811,93811,118
17
IA
Workiva Inc. Wdesk FA01/FA16282804,2034,6814,5783,5711817,051
18
NY
S2 Filings LLC/FA16157743,7443,0672,3151,50922410,859
19
NC
FilePoint/FA13983443,6824,8094,3753,6452,83026,191
20
IL
Fitzgerald Marketing & Communications, LLC/FA14455463,5745,0975,3755,1715,47549,010
21
PA
Vanguard Horizon Funds9324713,3413,5413,3823,1043,01233,621
22
CA
Globenewswire Inc./FA11718433,1093,7193,2493,3312,88228,170
23
CO
Securex Filings/FA12146593,0173,7933,5994,2794,13433,642
24
NY
Doremus Financial Printing/FA8910922,9184,0363,7874,9394,25952,930
25
NY
Seward & Kissel LLP9195742,8093,9333,7923,9403,88356,668
24 Filing Agents¹ — 1 Registrant²
Most-Active Filing Agents: 603690732781840
Total Filing Agents: 3,6193,5563,4793,3923,305
Self-Filing Registrants: 29,98135,72634,31333,21731,537
Active Registrants: 112,523131,797128,871131,070130,068
________
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 +1 415-420-4604. For Filing Agents, it’s great for “new business” prospecting.

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