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SEC Filing Agents

   as of Saturday, 10/20/18

The Top 50 Most-Active Filing Agents¹ in 2018

FilingsSince
7/6/92
Bottom
#  Filing Agent¹SEC CIK² 2018   2017   2016   2015   2014  



In descending order
1
NY
Donnelley Financial Solutions/FA119312559,71976,65480,80484,05387,5781,021,636
2
DC
DONNELLEY FINANCIAL SOLUTIONS File16/FA120919134,48341,71842,61649,93945,214615,004
3
MN
Merrill Corp-MD/FA110465921,83226,28425,94729,19330,012421,089
4
NY
Toppan Vintage/FA114420418,68122,50023,54326,16728,448388,934
5
TX
Broadridge Financial Solutions, Inc.114036118,00522,36221,85923,12523,758290,952
6
NJ
Computershare Inc/FA112760217,01219,00319,58919,46320,196196,293
7
NY
Davis Polk & Wardwell LLP 01/FA95010312,13412,9599,1749,7599,161103,167
8
NY
CT's hCue/FA12252088,17710,80711,65213,05614,808159,841
9
TX
Donnelley Financial Solutions 06/FA8992437,8488,6878,8804,16238,283
10
TX
Section16 Direct/FA11791106,8248,7789,1149,3239,989160,001
11
CA
RDG Filings/FA14377496,7317,8197,7687,7217,65657,889
12
TX
ActiveDisclosure/FA15645906,6356,3164,6842,8371,01521,724
13
CA
M2 Compliance/FA14931526,6096,8294,4642,8471,89124,781
14
NJ
Edgar Agents LLC/FA12139005,9266,0544,3374,2163,67940,450
15
Flag of Switzerland emoji
UBS AG11144465,0376,1103,4962,7494,60432,141
16
NC
Blueprint/FA16549544,7984,8811,93811,617
17
IA
Workiva Inc. Wdesk FA01/FA16282804,4634,6814,5783,5711817,311
18
NY
S2 Filings LLC/FA16157744,3763,0672,3151,50922411,491
19
NC
FilePoint/FA13983444,0454,8094,3753,6452,83026,554
20
IL
Fitzgerald Marketing & Communications, LLC/FA14455464,0255,0975,3755,1715,47549,461
21
PA
Vanguard Horizon Funds9324713,4113,5413,3823,1043,01233,691
22
CA
Globenewswire Inc./FA11718433,3583,7193,2493,3312,88228,419
23
CO
Securex Filings/FA12146593,2893,7933,5994,2794,13433,914
24
NY
Doremus Financial Printing/FA8910923,2884,0363,7874,9394,25953,300
25
NY
Seward & Kissel LLP9195743,0643,9333,7923,9403,88356,923
26
MD
Norwest Asset Sec Corp Mort PS THR Cert Ser 1998-1 Trust10564043,0222,7922,0391,42388636,895
27
Flag of Canada emoji
Solium Capital Inc15621802,9892,6591,889671188,227
28
DE
Bif Money Fund2154572,8451,9303,0387778,634
29
OH
RR DONNELLEY FundSuiteArc/FA11455492,7773,6284,4464,3784,82241,585
30
WI
US Bancorp Fund Services LLC8941892,4742,9862,9122,7222,55832,375
31
IL
Financial Graphic Service, Inc./FA15286212,4353,3854,0354,1874,51027,635
32
NY
Broadridge Financial Solutions, Inc./FA15676192,4089036666752324,950
33
NY
Donnelley Financial Solutions/FA9501232,3102,9042,6203,3493,280225,480
34
NY
Blu Giant, LLC/FA15806422,1912,9493,0102,62410,774
35
Flag of U.S.A. emoji
Merrill Bridge/FA15583702,0092,5031,9797691117,371
36
OH
Advisor Consultant Network Inc10851462,0002,1382,0381,9711,88421,727
37
NY
Publishing Data Management, Inc./FA13794911,9543,2302,1394924069,587
38
Flag of Canada emoji
Newsfile Corp/FA10629931,9492,4342,7333,1463,36937,277
39
MN
Merrill Corp/New/FA10474691,8632,4532,5252,9993,336140,283
40
NJ
GlobalOne Filings, Inc./FA16831681,8572,0995774,533
41
NY
Quality EDGAR Solutions, LLC/FA13871311,8231,8251,2771,2341,18011,426
42
Flag of U.S.A. emoji
Discount Edgar/FA14779321,7742,4082,3082,7702,73217,007
43
NY
Schulte Roth & Zabel LLP/FA9026641,7332,1392,0602,1092,10426,477
44
Flag of Brazil emoji
MZ Technologies/FA12928141,6201,7221,8811,5851,47022,648
45
DC
Adviser Compliance Associates LLC11726611,3001,5381,5291,4651,22613,282
46
NY
Command Financial9304131,2741,6571,6951,8651,93044,220
47
CO
Morse Elizabeth Myers12463601,2611,8632,0702,2012,58327,860
48
CA
LendingClub Corp14099701,2401,5431,5521,5231,60113,483
49
NJ
DG3/FA12067741,1861,4401,5931,6521,53619,954
50
NY
Business Wire/FA11575231,1841,6491,6311,8942,22556,047
47 Filing Agents¹ — 3 Registrants²
Most-Active Filing Agents: 612691733781840
Total Filing Agents: 3,6233,5553,4793,3923,305
Self-Filing Registrants: 32,37835,72634,31333,21731,537
Active Registrants: 118,770131,801128,871131,071130,068
________
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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