SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

SEC Filing Agents

The
TOP arrow emoji
25 Most-Active Filing Agents¹ in 2020

As of   Saturday, 9/19/20

FilingsSince
7/6/92
Bottom
#  Filing Agent¹SEC CIK² 2020   2019   2018   2017   2016      
 
In descending order
1  
 NY
 
Donnelley Financial Solutions – 119312546,937  62,942  71,681  76,677  80,809  1,143,514
2  
 TX
 
Toppan Merrill – 110465940,063  27,939  26,337  26,287  25,951  493,606
3  
 DC
 
DONNELLEY FINANCIAL SOLUTIONS File16 – 120919131,089  38,303  39,734  41,718  42,616  689,647
4  
 PA
 
Confluence Technologies Inc – 175272425,556  15,554  440  –  –  41,550
5  
 NY
 
Davis Polk & Wardwell LLP 01 – 95010318,138  18,014  15,227  12,959  9,174  142,412
6  
 NJ
 
Computershare Inc – 112760213,510  19,951  21,258  19,003  19,589  234,000
7  
 TX
 
ActiveDisclosure – 156459013,443  14,255  8,538  6,316  4,684  51,325
8  
 CA
 
Edgar Agents LLC – 121390011,128  10,796  7,712  6,054  4,337  64,161
9  
 OH
 
DFIN Solutions FundSuiteArc – 11455499,475  5,925  3,482  3,628  4,446  57,690
10  
 NY
 
Broadridge Financial Solutions, Inc. – 15676199,293  12,931  4,822  903  667  29,589
11  
 CA
 
M2 Compliance – 14931528,173  9,022  8,273  6,832  4,464  43,643
12  
 TX
 
Donnelley Financial Solutions 06 – 8992438,164  9,586  9,235  8,687  8,880  57,420
13  
 TX
 
Broadridge Financial Solutions, Inc. – 11403617,347  8,187  19,889  22,362  21,859  308,370
14  
 CA
 
RDG Filings – 14377497,006  8,716  8,177  7,825  7,769  75,065
15  
 NY
 
CT's hCue – 12252086,571  9,000  9,459  10,807  11,652  176,694
16  
 TX
 
Section16 Direct – 11791105,381  7,161  7,884  8,778  9,114  173,603
17  
 NC
 
FilePoint – 13983444,623  5,360  5,030  4,809  4,375  37,522
18  
Flag of Switzerland emoji
 
UBS AG – 11144464,531  4,499  5,729  6,110  3,496  41,863
19  
 IA
 
Workiva Inc. Wdesk FA01 – 16282804,446  4,950  5,385  4,685  4,578  27,633
20  
Flag of Canada emoji
 
Solium Capital Inc – 15621804,424  4,567  3,583  2,659  1,889  17,812
21  
 NC
 
Blueprint – 16549544,380  6,193  6,067  4,881  1,938  23,459
22  
 MD
 
Norwest Asset Sec Corp Mort PS THR Cert Ser 1998-1 Trust – 10564044,227  5,337  3,897  2,792  2,039  47,334
23  
 NY
 
Doremus Financial Printing – 8910924,137  5,819  4,105  4,036  3,787  64,073
24  
 NY
 
S2 Filings LLC – 16157744,028  7,069  6,027  3,074  2,317  24,251
25  
 PA
 
Donnelley Financial/ArcFiling – 16838633,919  1,444  256  166  72  5,857
 24 Filing Agents¹ — 1 Registrant²
 
Most-Active “True” Filing Agents³:    569632657709742
Total “True” Filing Agents³:    3,7463,6823,6073,5323,457
 
Self-Filing Registrants:    30,87138,57037,28035,72834,313
Active Registrants:     112,960 130,560 130,011 131,811 128,876
________
 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.

We are the Only Site in the World
Globe showing Europe-Africa emoji
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
Call me hand emoji
at +1 415-420-4604.  For Filing Agents, it’s great for “new business” prospecting.

Top

Copyright © 2020 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Mon., Sep. 21, 11:07:15.0am ET