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SEC Filing Agents

The
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25 Most-Active Filing Agents¹ in 2021

As of   Saturday, 2/27/21

FilingsSince
7/6/92
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#  Filing Agent¹SEC CIK² 2021   2020   2019   2018   2017      
 
In descending order
1  
 TX
 
Toppan Merrill – 110465911,440  53,211  27,945  26,337  26,287  518,200
2  
 NY
 
Donnelley Financial Solutions – 119312510,638  62,391  62,954  71,681  76,677  1,169,618
3  
 DC
 
DONNELLEY FINANCIAL SOLUTIONS File16 – 12091919,278  40,050  38,303  39,734  41,718  707,886
4  
 PA
 
Confluence Technologies Inc – 17527246,137  37,689  15,554  440  –  59,820
5  
 CA
 
Edgar Agents LLC – 12139005,097  19,120  10,809  7,718  6,055  77,270
6  
 NJ
 
Computershare Inc – 11276024,410  17,245  19,951  21,258  19,003  242,145
7  
 NY
 
Davis Polk & Wardwell LLP 01 – 9501033,123  24,833  18,014  15,227  12,959  152,230
8  
 TX
 
ActiveDisclosure – 15645903,014  18,255  14,255  8,538  6,316  59,151
9  
 TX
 
Donnelley Financial Solutions 06 – 8992432,804  11,363  9,586  9,235  8,687  63,423
10  
 NY
 
Broadridge Financial Solutions, Inc. – 15676192,791  11,973  12,931  4,822  903  35,060
11  
 DE
 
Blackrock Global Allocation Fund, Inc. – 8342372,744  3,218  152  –  –  6,145
12  
 CA
 
M2 Compliance – 14931522,231  11,260  9,029  8,273  6,832  48,968
13  
 NY
 
CT's hCue – 12252082,209  8,470  9,000  9,459  10,807  180,802
14  
 TX
 
Broadridge Financial Solutions, Inc. – 11403612,165  10,555  8,189  19,890  22,362  313,746
15  
 PA
 
DFIN Solutions FundSuiteArc – 11455492,155  13,412  5,925  3,482  3,628  63,782
16  
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UBS AG – 11144461,814  7,169  4,499  5,729  6,110  46,315
17  
 CA
 
RDG Filings – 14377491,551  9,173  8,716  8,177  7,825  78,783
18  
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Quality Edgar - QES – 18398821,494  –  –  –  –  1,494
19  
 TX
 
Section16 Direct – 11791101,355  6,706  7,161  7,884  8,778  176,283
20  
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Solium Capital Inc – 15621801,277  5,514  4,567  3,583  2,659  20,179
21  
 NC
 
FilePoint – 13983441,200  6,108  5,366  5,030  4,809  40,213
22  
 CO
 
Securex Filings – 12146591,181  5,229  3,956  3,985  3,793  44,976
23  
 CA
 
Rahman Ahmad – 14810571,086  720  111  –  –  1,917
24  
 NY
 
Quality EDGAR Solutions, LLC – 13871311,028  4,276  3,309  2,377  1,825  20,593
25  
 IL
 
Fitzgerald Marketing & Communications, LLC – 14455461,007  5,024  4,653  4,986  5,097  61,110
 23 Filing Agents¹ — 2 Registrants²
 
Most-Active “True” Filing Agents³:    428603640662713
Total “True” Filing Agents³:    3,7683,7543,6793,6043,529
 
Self-Filing Registrants:    14,05939,65838,57137,28035,728
Active Registrants:     62,357 133,222 130,570 130,015 131,812
________
 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.

We are the Only Site in the World
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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  0001104659  (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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