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SEC Filing Agents

   as of Saturday, 11/30/19

The Top 50 Most-Active Filing Agents¹ in 2019

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



In descending order
1
NY
Donnelley Financial Solutions/FA119312558,08271,67176,67780,80984,0611,091,707
2
DC
DONNELLEY FINANCIAL SOLUTIONS File16/FA120919135,86239,73441,71842,61649,939656,117
3
MN
Toppan Merrill/FA110465924,50226,33526,28725,95129,195450,104
4
NJ
Computershare Inc112760218,86621,25819,00319,58919,463219,405
5
NY
Toppan Merrill/FA114420417,52223,12522,51123,54526,173410,923
6
NY
Davis Polk & Wardwell LLP 01/FA95010316,28415,22712,9599,1749,759122,544
7
TX
ActiveDisclosure/FA156459013,3908,5386,3164,6842,83737,017
8
PA
Confluence Technologies Inc/FA175272412,80744013,247
9
NY
Broadridge Financial Solutions, Inc./FA156761912,1174,82290366767519,482
10
NJ
Edgar Agents LLC/FA12139009,7047,7056,0544,3374,21651,934
11
TX
Donnelley Financial Solutions 06/FA8992438,9519,2358,6878,8804,16248,621
12
NY
CT's hCue/FA12252088,3879,45910,80711,65213,056169,510
13
CA
M2 Compliance/FA14931528,3388,2706,8324,4642,84734,783
14
CA
RDG Filings/FA14377498,1698,1777,8257,7697,72167,512
15
TX
Broadridge Financial Solutions, Inc.11403617,46019,88922,36221,85923,125300,296
16
TX
Section16 Direct/FA11791106,6167,8848,7789,1149,323167,677
17
NY
S2 Filings LLC/FA16157746,3866,0263,0742,3161,50919,535
18
NC
Blueprint/FA16549545,7936,0654,8811,93818,677
19
NY
Doremus Financial Printing/FA8910925,3634,1054,0363,7874,93959,480
20
OH
DFIN Solutions FundSuiteArc/FA11455495,0713,4823,6284,4464,37847,361
21
NC
FilePoint/FA13983444,9135,0304,8094,3753,64532,452
22
MD
Norwest Asset Sec Corp Mort PS THR Cert Ser 1998-1 Trust10564044,7913,8972,7922,0391,42342,561
23
IA
Workiva Inc. Wdesk FA01/FA16282804,6805,3834,6854,5783,57122,915
24
IL
Fitzgerald Marketing & Communications, LLC/FA14455464,2934,9865,0975,3755,17554,719
25
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Solium Capital Inc15621804,2143,5832,6591,88967113,035
26
Flag of Switzerland emoji
UBS AG11144463,9845,7296,1103,4962,74936,817
27
CO
Securex Filings/FA12146593,6583,9803,7933,5994,27938,263
28
CA
Globenewswire Inc./FA11718433,4634,0723,7193,2493,33132,596
29
NY
Seward & Kissel LLP9195743,3433,7633,9503,7923,94060,982
30
NY
Quality EDGAR Solutions, LLC/FA13871313,0472,3771,8251,2771,23415,027
31
WI
US Bancorp Fund Services LLC8941892,9743,1102,9912,9152,72235,993
32
DE
Bif Money Fund2154572,9122,9121,9303,03877711,613
33
PA
Vanguard Horizon Funds9324712,9043,6563,5413,3823,10536,841
34
Flag of U.S.A. emoji
Toppan Merrill Bridge/FA15583702,8462,5502,5031,97976910,758
35
IL
Financial Graphic Service, Inc./FA15286212,7953,2133,3854,0364,18731,209
36
NY
Donnelley Financial Solutions/FA9501232,6983,1032,9062,6203,349228,975
37
OH
Advisor Consultant Network Inc10851462,5852,4542,1382,0381,97124,766
38
NY
Blu Giant, LLC/FA15806422,3962,7522,9503,0132,62413,735
39
NJ
GlobalOne Filings, Inc./FA16831682,2592,3072,1005777,243
40
Flag of Canada emoji
Newsfile Corp/FA10629932,1472,4322,4342,7333,14639,907
41
NY
Schulte Roth & Zabel LLP/FA9026642,0262,0342,1392,0602,10928,804
42
Flag of Brazil emoji
MZ Technologies/FA12928141,9842,0821,7221,8811,58525,094
43
Flag of U.S.A. emoji
Discount Edgar/FA14779321,8762,1562,4082,3082,77019,265
44
MN
Toppan Merrill-FA10474691,8442,1222,4532,5252,999142,386
45
NY
Publishing Data Management, Inc./FA13794911,8152,3933,2302,13949211,841
46
DC
Adviser Compliance Associates LLC11726611,7231,6511,5381,5291,46515,356
47
NY
Cadwalader Wickersham & Taft LLP9141211,5841,21287851728117,437
48
CA
Equity Administration Solutions Inc./FA15939681,5231,1859045431844,339
49
NJ
DG3/FA12067741,5151,4581,4401,5931,65221,741
50
NY
Business Wire/FA11575231,4971,5111,6491,6311,89457,871
48 Filing Agents¹ — 2 Registrants²
Most-Active Filing Agents: 604644699737786
Total Filing Agents: 3,6803,6123,5353,4603,375
Self-Filing Registrants: 36,27137,27935,72834,31333,217
Active Registrants: 125,290130,004131,811128,874131,074
________
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 an SEC Central Index Key (CIK). When a Filing is submitted, its 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 a related 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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