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SEC Filing Agents

   as of Saturday, 2/16/19

The Top 50 Most-Active Filing Agents¹ in 2019

FilingsSince
7/6/92
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#  Filing Agent¹SEC CIK² 2019   2018   2017   2016   2015  



In descending order
1
NY
Donnelley Financial Solutions/FA11931258,06771,51976,65680,80484,0581,041,510
2
DC
DONNELLEY FINANCIAL SOLUTIONS File16/FA12091916,76739,73441,71842,61649,939627,022
3
NJ
Computershare Inc/FA11276023,61421,25819,00319,58919,463204,153
4
MN
Merrill Corp-MD/FA11046593,15626,26626,28525,94729,195428,683
5
NY
Toppan Vintage/FA11442043,12723,04722,50823,54326,173396,445
6
DE
Bif Money Fund2154572,6152,9121,9303,03877711,316
7
NY
Broadridge Financial Solutions, Inc./FA15676192,5194,8229036666759,883
8
PA
Vanguard Horizon Funds9324712,4303,6553,5413,3823,10536,366
9
NY
Davis Polk & Wardwell LLP 01/FA9501032,03415,22612,9599,1749,759108,293
10
NY
CT's hCue/FA12252081,5169,45910,80711,65213,056162,639
11
TX
Donnelley Financial Solutions 06/FA8992431,1919,2358,6878,8804,16240,861
12
TX
Section16 Direct/FA11791101,1867,8848,7789,1149,323162,247
13
TX
Broadridge Financial Solutions, Inc.11403611,16719,87022,36221,85923,125293,984
14
NJ
Edgar Agents LLC/FA12139001,1337,5946,0544,3374,21643,252
15
CA
RDG Filings/FA14377491,0698,1707,8237,7687,72160,401
16
NY
S2 Filings LLC/FA16157749745,9963,0672,3161,50914,086
17
TX
ActiveDisclosure/FA15645909638,5156,3164,6842,83724,567
18
CA
M2 Compliance/FA14931529538,2206,8314,4642,84727,347
19
NY
Doremus Financial Printing/FA8910928824,1054,0363,7874,93954,999
20
OH
Advisor Consultant Network Inc10851468082,4542,1382,0381,97122,989
21
NC
FilePoint/FA13983447765,0174,8094,3753,64528,302
22
NY
Donnelley Financial Solutions/NY/FA12588977729941,0401,1471,1235,606
23
NY
Seward & Kissel LLP9195747673,7623,9333,7923,94058,388
24
NC
Blueprint/FA16549547506,0144,8811,93813,583
25
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Solium Capital Inc15621807503,5832,6591,8896719,571
26
OH
DFIN Solutions FundSuiteArc/FA11455497323,4823,6284,4464,37843,022
27
IL
Fitzgerald Marketing & Communications, LLC/FA14455467294,9805,0975,3755,17551,149
28
MA
FMR LLC3150667051,0621,1631,2291,22638,486
29
CO
Securex Filings/FA12146596503,9783,7933,5994,27935,253
30
DC
Adviser Compliance Associates LLC11726616101,6511,5381,5291,46514,243
31
NY
Donnelley Financial Solutions/FA9501235623,0112,9062,6203,349226,745
32
MD
Norwest Asset Sec Corp Mort PS THR Cert Ser 1998-1 Trust10564045103,8972,7922,0391,42338,280
33
IA
Workiva Inc. Wdesk FA01/FA16282805025,3754,6834,5783,57118,727
34
NY
Schulte Roth & Zabel LLP/FA9026644742,0342,1392,0602,10927,252
35
MD
Price T Rowe Associates Inc/MD8025546656958363667212,286
36
CA
Globenewswire Inc./FA11718434634,0723,7193,2493,33129,596
37
Flag of Canada emoji
Newsfile Corp/FA10629934462,4272,4342,7333,14638,201
38
WI
US Bancorp Fund Services LLC8941894323,1032,9892,9122,72233,439
39
NY
Quality EDGAR Solutions, LLC/FA13871314282,3751,8251,2771,23412,406
40
PA
Confluence Technologies Inc/FA1752724426440866
41
MA
Wellington Management Group LLP90221940350458362058714,719
42
NY
Blu Giant, LLC/FA15806423882,7362,9493,0102,62411,707
43
Flag of Switzerland emoji
UBS AG11144463545,7296,1103,4962,74933,187
44
CO
Morse Elizabeth Myers12463603281,4471,8632,0702,20128,374
45
CA
Equity Administration Solutions Inc./FA15939683211,1859045431843,137
46
IL
Financial Graphic Service, Inc./FA15286213153,2123,3854,0354,18728,727
47
KS
Z-K Global Ltd/FA11789132771,4131,5341,4951,71621,981
48
MA
State Street Corp937512763813613461162,564
49
NJ
GlobalOne Filings, Inc./FA16831682662,2842,1005775,227
50
NY
Renaissance Technologies LLC103738926420915497751,568
43 Filing Agents¹ — 7 Registrants²
Most-Active Filing Agents: 447631694735783
Total Filing Agents: 3,6493,6353,5553,4793,393
Self-Filing Registrants: 10,54437,27335,72634,31333,217
Active Registrants: 47,410129,935131,808128,874131,074
________
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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