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SEC Filing Agents

   as of Saturday, 6/23/18

The Top 50 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
26
NY
Doremus Financial Printing/FA8910922,1304,0363,7874,9394,25952,142
27
NY
Seward & Kissel LLP9195741,9853,9333,7923,9403,88355,844
28
MD
Norwest Asset Sec Corp Mort PS THR Cert Ser 1998-1 Trust10564041,7222,7922,0391,42388635,595
29
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RR DONNELLEY FundSuiteArc/FA11455491,5733,6284,4464,3784,82240,381
30
WI
US Bancorp Fund Services LLC8941891,5202,9852,9122,7222,55831,420
31
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Financial Graphic Service, Inc./FA15286211,4853,3854,0354,1874,51026,685
32
NY
Donnelley Financial Solutions/FA9501231,4262,8932,6183,3473,280224,581
33
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Merrill Bridge/FA15583701,3902,5031,9797691116,752
34
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Blu Giant, LLC/FA15806421,3742,9463,0102,6249,954
35
OH
Advisor Consultant Network Inc10851461,3542,1382,0381,9711,88421,081
36
MN
Merrill Corp/New/FA10474691,3032,4532,5252,9993,336139,723
37
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Newsfile Corp/FA10629931,2682,4342,7333,1463,36936,596
38
NY
Schulte Roth & Zabel LLP/FA9026641,2092,1392,0602,1092,10425,953
39
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Publishing Data Management, Inc./FA13794911,1533,2302,1394924068,786
40
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Discount Edgar/FA14779321,1402,4052,3072,7702,73216,369
41
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MZ Technologies/FA12928141,0911,7221,8811,5851,47022,119
42
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GlobalOne Filings, Inc./FA16831681,0622,0975773,736
43
CO
Morse Elizabeth Myers12463609541,8632,0702,2012,58327,553
44
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Quality EDGAR Solutions, LLC/FA13871319491,8231,2771,2341,18010,550
45
DC
Adviser Compliance Associates LLC11726619221,5381,5291,4651,22612,904
46
MA
FMR LLC3150668861,1631,2291,2261,28837,605
47
NY
Donnelley Financial Solutions/NY/FA12588978641,0401,1471,123894,704
48
KS
Z-K Global Ltd/FA11789138411,5341,4951,7141,77321,130
49
NY
Command Financial9304138381,6551,6951,8651,93043,782
50
NJ
Appatura/FA11332287821,2269571,2151,3459,009
47 Filing Agents¹ — 3 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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