| | | Filings | Since
7/6/92 |
| ↓Bottom |
|---|
| # | Filing Agent¹ – SEC CIK² |
2019 |
2018 |
2017 |
2016 |
2015 |
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|
|---|
| | |   |
| 1 | | Donnelley Financial Solutions/FA – 1193125 | 29,034 | 71,648 | 76,658 | 80,804 | 84,061 | 1,062,612 |
| 2 | | DONNELLEY FINANCIAL SOLUTIONS File16/FA – 1209191 | 19,421 | 39,734 | 41,718 | 42,616 | 49,939 | 639,676 |
| 3 | | Computershare Inc – 1127602 | 10,835 | 21,258 | 19,003 | 19,589 | 19,463 | 211,374 |
| 4 | | Merrill Corp-MD/FA – 1104659 | 10,650 | 26,323 | 26,286 | 25,947 | 29,195 | 436,235 |
| 5 | | Toppan Vintage/FA – 1144204 | 9,806 | 23,102 | 22,511 | 23,544 | 26,173 | 403,183 |
| 6 | | Davis Polk & Wardwell LLP 01/FA – 950103 | 6,497 | 15,227 | 12,959 | 9,174 | 9,759 | 112,757 |
| 7 | | Broadridge Financial Solutions, Inc./FA – 1567619 | 6,358 | 4,822 | 903 | 667 | 675 | 13,723 |
| 8 | | ActiveDisclosure/FA – 1564590 | 5,531 | 8,533 | 6,316 | 4,684 | 2,837 | 29,153 |
| 9 | | CT's hCue/FA – 1225208 | 4,613 | 9,459 | 10,807 | 11,652 | 13,056 | 165,736 |
| 10 | | Donnelley Financial Solutions 06/FA – 899243 | 4,339 | 9,235 | 8,687 | 8,880 | 4,162 | 44,009 |
| 11 | | Edgar Agents LLC/FA – 1213900 | 3,709 | 7,687 | 6,054 | 4,337 | 4,216 | 45,921 |
| 12 | | RDG Filings/FA – 1437749 | 3,707 | 8,177 | 7,824 | 7,769 | 7,721 | 63,049 |
| 13 | | Section16 Direct/FA – 1179110 | 3,544 | 7,884 | 8,778 | 9,114 | 9,323 | 164,605 |
| 14 | | M2 Compliance/FA – 1493152 | 3,415 | 8,257 | 6,831 | 4,464 | 2,847 | 29,846 |
| 15 | | Broadridge Financial Solutions, Inc. – 1140361 | 3,198 | 19,886 | 22,362 | 21,859 | 23,125 | 296,031 |
| 16 | | S2 Filings LLC/FA – 1615774 | 3,062 | 6,022 | 3,067 | 2,316 | 1,509 | 16,200 |
| 17 | | Vanguard Horizon Funds – 932471 | 2,794 | 3,656 | 3,541 | 3,382 | 3,105 | 36,731 |
| 18 | | Bif Money Fund – 215457 | 2,760 | 2,912 | 1,930 | 3,038 | 777 | 11,461 |
| 19 | | Blueprint/FA – 1654954 | 2,757 | 6,051 | 4,881 | 1,938 | – | 15,627 |
| 20 | | Doremus Financial Printing/FA – 891092 | 2,480 | 4,105 | 4,036 | 3,787 | 4,939 | 56,597 |
| 21 | | Workiva Inc. Wdesk FA01/FA – 1628280 | 2,268 | 5,382 | 4,685 | 4,578 | 3,571 | 20,502 |
| 22 | | Solium Capital Inc – 1562180 | 2,204 | 3,583 | 2,659 | 1,889 | 671 | 11,025 |
| 23 | | FilePoint/FA – 1398344 | 2,174 | 5,030 | 4,809 | 4,375 | 3,645 | 29,713 |
| 24 | | DFIN Solutions FundSuiteArc/FA – 1145549 | 2,062 | 3,482 | 3,628 | 4,446 | 4,378 | 44,352 |
| 25 | | Fitzgerald Marketing & Communications, LLC/FA – 1445546 | 1,932 | 4,986 | 5,097 | 5,375 | 5,175 | 52,358 |
| | — 24 Filing Agents¹ — 1 Registrant² — |
| |
| | Most-Active Filing Agents: | 529 | 634 | 693 | 734 | 783 |
| | Total Filing Agents: | 3,640 | 3,613 | 3,536 | 3,461 | 3,376 |
| |
| | Self-Filing Registrants: | 21,359 | 37,275 | 35,727 | 34,313 | 33,217 |
| | Active Registrants: | 85,607 | 129,978 | 131,809 | 128,874 | 131,074 |
| ________ | | ¹ | An 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. | | 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, 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. |
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