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SEC Filing Agents

   as of Saturday, 3/28/20

The Top 50 Most-Active Filing Agents¹ in 2020

FilingsSince
7/6/92
Bottom
#  Filing Agent¹SEC CIK² 2020   2019   2018   2017   2016  



In descending order
1
NY
Donnelley Financial Solutions/FA119312516,72562,88171,68076,67780,8091,113,240
2
MN
Toppan Merrill/FA110465915,18127,91126,33726,28725,951468,696
3
DC
DONNELLEY FINANCIAL SOLUTIONS File16/FA120919113,47038,30339,73441,71842,616672,028
4
PA
Confluence Technologies Inc/FA17527248,75215,55444024,746
5
NJ
Computershare Inc11276026,42919,95121,25819,00319,589226,919
6
NY
Davis Polk & Wardwell LLP 01/FA9501036,11118,01315,22712,9599,174130,384
7
TX
ActiveDisclosure/FA15645904,30414,2558,5386,3164,68442,186
8
NY
Broadridge Financial Solutions, Inc./FA15676194,03712,9314,82290366724,333
9
OH
DFIN Solutions FundSuiteArc/FA11455493,2225,9253,4823,6284,44651,437
10
NY
CT's hCue/FA12252083,2109,0009,45910,80711,652173,333
11
TX
Donnelley Financial Solutions 06/FA8992433,1879,5869,2358,6878,88052,443
12
NJ
Edgar Agents LLC/FA12139002,92710,7557,7076,0544,33755,914
13
DE
Blackrock Global Allocation Fund, Inc.8342372,6851522,868
14
TX
Broadridge Financial Solutions, Inc.11403612,5528,17019,88922,36221,859303,558
15
TX
Section16 Direct/FA11791102,3237,1617,8848,7789,114170,545
16
CA
RDG Filings/FA14377492,2948,7118,1777,8257,76970,348
17
CA
M2 Compliance/FA14931522,2259,0138,2736,8324,46437,686
18
Flag of Canada emoji
Solium Capital Inc15621802,0544,5673,5832,6591,88915,442
19
NY
S2 Filings LLC/FA16157741,8587,0656,0273,0742,31722,077
20
NC
FilePoint/FA13983441,7695,3565,0304,8094,37534,664
21
NY
Doremus Financial Printing/FA8910921,7205,8194,1054,0363,78761,656
22
Flag of Switzerland emoji
UBS AG11144461,5684,4995,7296,1103,49638,900
23
NC
Blueprint/FA16549541,5526,1926,0664,8811,93820,629
24
CO
Securex Filings/FA12146591,4833,9523,9843,7933,59940,044
25
IL
Fitzgerald Marketing & Communications, LLC/FA14455461,3934,6484,9865,0975,37556,467
26
IA
Workiva Inc. Wdesk FA01/FA16282801,3914,9485,3854,6854,57824,576
27
MD
Norwest Asset Sec Corp Mort PS THR Cert Ser 1998-1 Trust10564041,3155,3373,8972,7922,03944,422
28
NY
Quality EDGAR Solutions, LLC/FA13871311,1693,3072,3771,8251,27716,456
29
NY
Seward & Kissel LLP9195741,1603,4913,7633,9503,79262,290
30
OH
Advisor Consultant Network Inc10851468272,6032,4542,1382,03825,611
31
CA
Globenewswire Inc./FA11718438213,6804,0723,7193,24933,634
32
Flag of U.S.A. emoji
Toppan Merrill Bridge/FA15583707902,9732,5502,5031,97911,675
33
NY
Schulte Roth & Zabel LLP/FA9026647672,1202,0342,1392,06029,665
34
WI
US Bancorp Fund Services LLC8941897603,2763,1102,9912,91537,055
35
NY
Donnelley Financial Solutions/NY/FA12588977569829941,0401,1476,572
36
IL
Financial Graphic Service, Inc./FA15286217112,9983,2143,3864,03632,125
37
Flag of Canada emoji
Newsfile Corp/FA10629937002,2662,4322,4342,73340,726
38
DC
Adviser Compliance Associates LLC11726616721,7351,6511,5381,52916,040
39
NY
Blu Giant, LLC/FA15806426332,6112,7522,9503,01314,583
40
CA
Equity Administration Solutions Inc./FA15939686331,6191,1859045435,068
41
MA
FMR LLC3150666028791,0621,1631,22939,262
42
NY
Donnelley Financial Solutions/FA9501235872,8553,1102,9062,620229,726
43
NY
Cadwalader Wickersham & Taft LLP9141215831,7741,21287851718,210
44
NJ
GlobalOne Filings, Inc./FA16831685592,4152,3092,1005777,960
45
MN
Toppan Merrill-FA10474695051,9562,1222,4532,525143,003
46
CO
Morse Elizabeth Myers12463604941,4231,4471,8632,07029,963
47
Flag of Brazil emoji
MZ Technologies/FA12928144792,1652,0821,7221,88125,754
48
MD
Price T Rowe Associates Inc/MD8025547957556958363612,874
49
CA
SEC Connect14158894558039449721,54511,183
50
PA
Donnelley Financial/ArcFiling/FA16838634441,440256166722,378
46 Filing Agents¹ — 4 Registrants²
Most-Active Filing Agents: 475620646700736
Total Filing Agents: 3,7033,6843,6083,5323,457
Self-Filing Registrants: 16,94638,56937,27935,72834,313
Active Registrants: 70,231130,522130,006131,811128,875
________
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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