| | | Filings | Since
7/6/92 |
| ↓Bottom |
|---|
| # | Filing Agent¹ – SEC CIK² |
2021 |
2020 |
2019 |
2018 |
2017 |
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|
|---|
| | |   |
| 1 | | Donnelley Financial Solutions – 1193125 | 22,257 | 62,426 | 62,958 | 71,681 | 76,677 | 1,181,276 |
| 2 | | Toppan Merrill – 1104659 | 20,034 | 53,283 | 27,945 | 26,337 | 26,287 | 526,866 |
| 3 | | Donnelley Financial Solutions File16 – 1209191 | 17,186 | 40,050 | 38,303 | 39,734 | 41,718 | 715,794 |
| 4 | | Confluence Technologies Inc. – 1752724 | 10,001 | 37,689 | 15,554 | 440 | – | 63,684 |
| 5 | | Edgar Agents LLC – 1213900 | 9,553 | 19,187 | 10,816 | 7,718 | 6,055 | 81,800 |
| 6 | | Computershare Inc – 1127602 | 7,644 | 17,245 | 19,951 | 21,258 | 19,003 | 245,379 |
| 7 | | ActiveDisclosure – 1564590 | 6,107 | 18,261 | 14,255 | 8,538 | 6,316 | 62,250 |
| 8 | | Davis Polk & Wardwell LLP 01 – 950103 | 5,714 | 24,834 | 18,014 | 15,227 | 12,959 | 154,822 |
| 9 | | Donnelley Financial Solutions 06 – 899243 | 5,485 | 11,363 | 9,586 | 9,235 | 8,687 | 66,104 |
| 10 | | Broadridge Financial Solutions, Inc. – 1140361 | 4,731 | 10,566 | 8,189 | 19,890 | 22,362 | 316,323 |
| 11 | | Broadridge Financial Solutions, Inc. – 1567619 | 4,643 | 11,973 | 12,931 | 4,822 | 903 | 36,912 |
| 12 | | M2 Compliance – 1493152 | 4,286 | 11,278 | 9,036 | 8,273 | 6,832 | 51,048 |
| 13 | | DFIN Solutions FundSuiteArc – 1145549 | 4,035 | 13,412 | 5,925 | 3,482 | 3,628 | 65,662 |
| 14 | | CT's hCue – 1225208 | 3,878 | 8,470 | 9,000 | 9,459 | 10,807 | 182,471 |
| 15 | | UBS AG – 1114446 | 3,316 | 7,169 | 4,499 | 5,729 | 6,110 | 47,817 |
| 16 | | RDG Filings – 1437749 | 3,288 | 9,175 | 8,716 | 8,177 | 7,825 | 80,522 |
| 17 | | Quality Edgar - QES – 1839882 | 2,975 | – | – | – | – | 2,975 |
| 18 | | Blackrock Global Allocation Fund, Inc. – 834237 | 2,885 | 3,218 | 152 | – | – | 6,286 |
| 19 | | Section16 Direct – 1179110 | 2,525 | 6,706 | 7,161 | 7,884 | 8,778 | 177,453 |
| 20 | | Solium Capital Inc – 1562180 | 2,251 | 5,514 | 4,567 | 3,583 | 2,659 | 21,153 |
| 21 | | Securex Filings – 1214659 | 2,126 | 5,232 | 3,956 | 3,985 | 3,793 | 45,924 |
| 22 | | Workiva Inc. Wdesk FA01 – 1628280 | 2,066 | 5,622 | 4,950 | 5,385 | 4,685 | 30,875 |
| 23 | | Rahman Ahmad – 1481057 | 2,017 | 720 | 111 | – | – | 2,848 |
| 24 | | FilePoint – 1398344 | 1,983 | 6,114 | 5,366 | 5,030 | 4,809 | 41,002 |
| 25 | | Norwest Asset Sec Corp Mort PS THR Cert Ser 1998-1 Trust – 1056404 | 1,940 | 6,188 | 5,337 | 3,897 | 2,792 | 51,235 |
| | — 23 Filing Agents¹ — 2 Registrants² — |
| |
| | Most-Active “True” Filing Agents³: | 486 | 606 | 640 | 662 | 714 |
| | Total “True” Filing Agents³: | 3,791 | 3,753 | 3,678 | 3,603 | 3,529 |
| |
| | Self-Filing Registrants: | 22,068 | 39,658 | 38,571 | 37,280 | 35,728 |
| | Active Registrants: | 87,646 | 133,276 | 130,571 | 130,015 | 131,812 |
| ________ | | 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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