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SEC Filing Agents

The
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25 Most-Active Filing Agents¹ in 2020

As of   Saturday, 11/21/20

FilingsSince
7/6/92
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#  Filing Agent¹SEC CIK² 2020   2019   2018   2017   2016      
 
In descending order
1  
 NY
 
Donnelley Financial Solutions – 119312556,267  62,946  71,681  76,677  80,809  1,152,848
2  
 TX
 
Toppan Merrill – 110465948,015  27,940  26,337  26,287  25,951  501,559
3  
 DC
 
DONNELLEY FINANCIAL SOLUTIONS File16 – 120919136,496  38,303  39,734  41,718  42,616  695,054
4  
 PA
 
Confluence Technologies Inc – 175272431,135  15,554  440  –  –  47,129
5  
 NY
 
Davis Polk & Wardwell LLP 01 – 95010322,398  18,014  15,227  12,959  9,174  146,672
6  
 TX
 
ActiveDisclosure – 156459016,743  14,255  8,538  6,316  4,684  54,625
7  
 NJ
 
Computershare Inc – 112760215,779  19,951  21,258  19,003  19,589  236,269
8  
 CA
 
Edgar Agents LLC – 121390015,733  10,797  7,713  6,055  4,337  68,769
9  
 PA
 
DFIN Solutions FundSuiteArc – 114554911,508  5,925  3,482  3,628  4,446  59,723
10  
 NY
 
Broadridge Financial Solutions, Inc. – 156761911,020  12,931  4,822  903  667  31,316
11  
 TX
 
Donnelley Financial Solutions 06 – 89924310,147  9,586  9,235  8,687  8,880  59,403
12  
 CA
 
M2 Compliance – 149315210,014  9,023  8,273  6,832  4,464  45,485
13  
 TX
 
Broadridge Financial Solutions, Inc. – 11403619,175  8,188  19,890  22,362  21,859  310,200
14  
 CA
 
RDG Filings – 14377498,440  8,716  8,177  7,825  7,769  76,499
15  
 NY
 
CT's hCue – 12252087,674  9,000  9,459  10,807  11,652  177,797
16  
 TX
 
Section16 Direct – 11791106,129  7,161  7,884  8,778  9,114  174,351
17  
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UBS AG – 11144465,844  4,499  5,729  6,110  3,496  43,176
18  
 NC
 
FilePoint – 13983445,508  5,364  5,030  4,809  4,375  38,411
19  
 NC
 
Blueprint – 16549545,442  6,193  6,067  4,881  1,938  24,521
20  
 IA
 
Workiva Inc. Wdesk FA01 – 16282805,246  4,950  5,385  4,685  4,578  28,433
21  
 MD
 
Norwest Asset Sec Corp Mort PS THR Cert Ser 1998-1 Trust – 10564045,215  5,337  3,897  2,792  2,039  48,322
22  
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Solium Capital Inc – 15621805,003  4,567  3,583  2,659  1,889  18,391
23  
 NY
 
Doremus Financial Printing – 8910924,900  5,819  4,105  4,036  3,787  64,836
24  
 CO
 
Securex Filings – 12146594,658  3,956  3,985  3,793  3,599  43,224
25  
 IL
 
Fitzgerald Marketing & Communications, LLC – 14455464,471  4,653  4,986  5,097  5,375  59,550
 24 Filing Agents¹ — 1 Registrant²
 
Most-Active “True” Filing Agents³:    584634658709741
Total “True” Filing Agents³:    3,7523,6793,6043,5293,454
 
Self-Filing Registrants:    36,14538,57037,28035,72834,313
Active Registrants:     125,230 130,564 130,014 131,812 128,876
________
 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.

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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  0001193125  (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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