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

SEC Filing Agents
Man technologist emoji
and Filing Software
Floppy disk emoji

TOP arrow emoji
10 Most Active Filing Agents of 558 in

As of   Friday, 9/22/23            Info about Filing Agents and Filing Software

“True” Filing Agent¹ Most Frequently Used      
Software For Filings §      
Round pushpin emoji
  Filings Ratio...  For Others : For Themself ² — SEC CIK ³   2023   2022   2021   2020   2019  
In descending order
Donnelley Financial Solutions All : 0 — 1193125  
Construction emoji
 Available soon! 
Construction emoji
43,421  59,375  69,018  62,491  62,972  1,330,917
Toppan Merrill 100+ : 1 — 1104659  39,670  49,780  58,510  53,350  27,948  654,863
Donnelley Financial Solutions File16 All : 0 — 1209191  30,672  38,354  43,882  40,050  38,303  811,516
EdgarAgents LLC All : 0 — 1213900  30,421  32,090  27,738  19,263  10,826  162,585
Confluence Technologies Inc. All : 0 — 1752724  27,032  38,886  37,772  37,689  15,554  157,373
Donnelley Financial Solutions All : 0 — 950170  15,282  7,386  1,360  14  –  29,024
M2 Compliance LLC All : 0 — 1493152  14,848  17,126  15,299  11,294  9,037  94,052
Broadridge Financial Solutions, Inc. 100+ : 1 — 1140361  14,556  14,926  14,029  10,576  8,189  355,113
Davis Polk & Wardwell LLP 01 All : 0 — 950103  13,622  21,444  20,144  24,834  18,014  204,318
Computershare Inc 100+ : 1 — 1127602  13,086  15,360  17,280  17,245  19,951  283,461
 8 Filing Agents — 2 Registrants
Most Active “True” Filing Agents:    558  531  581  580  604  
Total “True” Filing Agents:    4,057  3,926  3,836  3,736  3,663  
Round pushpin emoji
Filing Agent Location:  Hover over flags to see “Business Address, Mailing Address or Organized/Incorporated in...”, as filed with the SEC. 
 ¹  In SEC terminology, a “filing agent” (in non-bold all-lowercase herein) is the entity submitting a Filing, i.e., the party who is logged into the SEC’s EDGAR system when it is submitted, and is identified by the CIK³ they used to login to EDGAR.  They are either (1) an SEC-registered Filing Agent (in Bold Initial-Caps herein), or (2) a Registrant (in non-bold names above) who has “self-filed” a Filing as the Filer/Issuer or is submitting one for an affiliate, or (3) the SEC itself.  A registered Filing Agent is in the business of submitting Filings for other Registrants, so we call them a “true” Filing Agent (Bold Initial-Caps) to distinguish them conceptually from the filing agent (non-bold all-lowercase) who submitted the Filing.  Out of 1.3M+ Registrants, there have been 300K+ filing agents and 4K+ “true” Filing Agents, meaning that ≈77% of Registrants have used only Filing Agents for their Filings and ≈23% have filed at least one Filing for themself as a “self-filer” without using a Filing Agent.  Determining which filing agents are “true” Filing Agents is difficult.²  You cannot tell whether a Filing’s filing agent CIK³ is that of a Filing Agent or a Registrant Filer/Issuer, 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 business purposes (e.g., some Transfer Agents).  Further complicating this, some “parents” submit Filings for their subsidiaries, Funds/ETFs or ABSs, and various Money Managers submit Filings for other related Money Managers.  Another complication is that some Filing Agents offer self-filer filing services on websites, whereby the Filer/Issuer can choose on some websites to have the site’s Filing Software§ login to EDGAR with either their own CIK³ or the Filing Agent’s.  A Filing is self-filed when the Filer/Issuer is logged into EDGAR with their own CIK³ and is filing their own Filing, whether or not they are using an SEC website or Filing Software§ from a Filing Agent or another vendor.  Similarly (but less frequently, due to password-security issues), if a Filer/Issuer allows a Filing Agent to login to EDGAR with the Filer/Issuer’s CIK³, that would be a self-filing situation, because there would be no SEC record of the Filing Agent’s involvement.  If a Filer/Issuer is logged into a Filing Agent’s site when submitting a Filing but doesn’t use their own CIK³ for the submission, then the Filing Agent is the filing agent.  In this case, regardless of whether or not a Filing Agent’s site allows Registrant clients to “sign off” on Filings or submit them from there, the Filing Agent is still the filing agent and the Filing is not self-filed.  Our algorithms reconcile all of this daily and figure out who the “true” Filing Agents are.
 ²  We determine which of the 300K+ historic filing agents are “true” Filing Agents, and of those 4K+, which of them are “pure” (≈90%) or not (≈10%), by comparing the CIK³ of each Filing’s filing agent with that of the Filer/Issuer for whom the Filing was filed.  We consider a Registrant to be a “true” Filing Agent when they have either (1) done Filings only for others, or (2) done more than a specific number (which is based upon our extensive research and is proprietary to us) of Filings for others for each Filing they did for themself as the Filer/Issuer.  The “Filings Ratio” after each name above indicates either (1) that the filing agent is a “pure” Filing Agent (shown as “All : 0” when all of their submissions have been for other Registrants and none have been for themself), or (2) the ratio of Filings for others versus for themself as a Registrant (e.g., “100+ : 1” or # : 1”).  Not all Filing Agents are identified by name above; some are paying us to remain “anonymous” for competitive reasons, mostly to protect their client lists from poaching by other Filing Agents (see the Services We Offer below).
 ³  To submit Filings, an entity must first register with the SEC to receive a 10-digit Central Index Key (CIK).  When a Filing is submitted, the CIK of the filing agent¹ is used, and it may differ from that of the Filer/Issuer legally required to make the Filing.  The submitting filing agent¹ may be a “true” Filing Agent or a Registrant who is self-filing or filing for a related Registrant.  The filing agent’s CIK shows up as the first part of each Filing’s identifying SEC Accession Number, which is in ‘CIK-Year-Submission#’ format (e.g., SEC # 0001193125-23-043421).
 §  Most Filing Agents use specialized SEC Filing Software to create and edit the Documents in the Filings that they submit.  Shown above is the name of the most frequently used software that each Filing Agent uses, based upon the number of their Filings in which identifiable software was used.  We search through all Filings and look for patterns that enable us to accurately identify the software that was used to edit each Document.  The software may be a commercially available Filing Software product or customized software that a Filing Agent wrote for their own purposes (for internal use and/or for sale).  Surprisingly, many Filing Agents actually use software written and sold/licensed by their direct competitors.  The reasons for this are that each software product has varying capabilities, strengths/weaknesses and costs/benefits depending upon the underlying complexities of the Filing/Form Types that are being filed, and Filing Agents are diverse in the degree to which they specialize/generalize in the various Types that they can file.  For many of the Filing Agents, you can hover over the most frequently used software’s name to see a list of the multiple software packages that they use (some use over 10!).  Registrants who self-file instead of using a Filing Agent use most of this same software for their Filings.  (Some of the Types can be filed on the SEC’s EDGAR Filing Websites without special software.)  SEC Info is the only service that offers detailed info and data on the SEC Filing Software market!

We are the Only Site in the World
Globe showing Americas emoji
that has SEC Filing Agents and Filing Software 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) on the SEC’s Company and Person Lookup page.  You won’t find them!  We have been researching and gathering info on Filing Agents for 26 years.
To see more or all registered Filing Agents, or to get our data on them:  Please submit your request on our Help page, or call
Call me hand emoji
  Fran Finnegan  at  +1 415-420-4604  to discuss your needs.
Services We Offer
 Detailed market share info and data for all Filing Agents and Filing Software products since 1992
 Complete list of all Filing Agents and Software — all in each year, as above, and all since 1992
 Complete client lists for over 99% of all Filing Agents — great for “new business” prospecting
 Client list protection
Shield emoji
— we won’t sell your client list per the previous item (see footnote ² above)
 Complete daily lists of new Registrants:  200±/day — sell yourself to them before their 1st Filing
 E-mail notifications of first-time Filers — sell yourself to them before other Filing Agents do
 E-mail notifications of Filings submitted by you or other chosen Filing Agents
 Customized Data Sets and private pages here related to Filing Agent activity (see non-FA Demos)
 Group-subscription discounts — so that all of your employees can easily use SEC Info


Copyright © 2023 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Mon., Sep. 25, 6:27:49.2am ET