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SEC Filing Agents
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The
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25 Most-Active Filing Agents in

As of   Yesterday, 2/7/23            Info about Filing Agents



“True” Filing Agent¹FilingsSince
1992
#    Filings Ratio...  For Others : For Themself ² — SEC CIK ³   2023   2022   2021   2020   2019        
 
In descending order
1  
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Donnelley Financial Solutions File16 All : 0 — 12091914,684  38,353  43,882  40,050  38,303  785,527
2  
 NY
 
Donnelley Financial Solutions All : 0 — 11931254,551  59,191  69,001  62,490  62,972  1,291,845
3  
 TX
 
Toppan Merrill 100+ : 1 — 11046594,337  49,525  58,501  53,347  27,948  619,263
4  
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EdgarAgents LLC All : 0 — 12139003,451  31,796  27,696  19,260  10,823  135,273
5  
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Confluence Technologies Inc. All : 0 — 17527242,127  38,875  37,772  37,689  15,554  132,457
6  
 NJ
 
Computershare Inc 100+ : 1 — 11276022,094  15,359  17,280  17,245  19,951  272,468
7  
 NY
 
Davis Polk & Wardwell LLP 01 All : 0 — 9501031,928  21,433  20,144  24,834  18,014  192,613
8  
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Filing Agent 1493152 All : 0 — 14931521,641  16,965  15,288  11,294  9,037  80,673
9  
 TX
 
Broadridge Financial Solutions, Inc. 100+ : 1 — 11403611,579  14,896  14,029  10,576  8,189  342,106
10  
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Quality Edgar – QES All : 0 — 18398821,523  14,634  9,795  –  –  25,952
11  
 TX
 
Donnelley Financial Solutions 06 100+ : 1 — 8992431,398  12,935  16,376  11,363  9,586  91,328
12  
 NY
 
Broadridge Financial Solutions, Inc. All : 0 — 15676191,194  12,290  12,561  11,973  12,931  58,314
13  
 CA
 
SEC Connect 100+ : 1 — 14158891,147  6,884  3,176  1,563  803  23,498
14  
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Newsfile Corp. All : 0 — 10629931,144  11,671  6,486  3,089  2,268  62,418
15  
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RDG Filings All : 0 — 1437749984  10,155  10,075  9,181  8,716  98,454
16  
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DFIN Solutions FundSuiteArc All : 0 — 1145549978  13,861  13,599  13,412  5,925  90,065
17  
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Solium Capital Inc. 100+ : 1 — 1562180849  6,173  5,924  5,514  4,567  31,848
18  
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Workiva Inc. Wdesk FA01 All : 0 — 1628280840  9,639  7,504  5,629  4,950  46,799
19  
 NY
 
CT’s hCue All : 0 — 1225208800  7,506  8,608  8,470  9,000  195,507
20  
 CA
 
Rahman Ahmad All : 0 — 1481057767  4,902  6,825  720  111  13,325
21  
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Securex Filings All : 0 — 1214659740  6,912  6,464  5,235  3,964  57,925
22  
 TX
 
ActiveDisclosure All : 0 — 1564590697  14,673  19,800  18,267  14,256  91,320
23  
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Fitzgerald Marketing & Communications, LLC All : 0 — 1445546659  5,077  5,320  5,048  4,655  71,185
24  
 FL
 
Donnelley Financial Solutions All : 0 — 950170636  7,377  1,360  14  –  14,369
25  
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Computershare Trust Co. NA/CCT All : 0 — 1888524609  7,356  1,614  –  –  9,579
 21 Filing Agents — 4 Registrants
 
Most-Active “True” Filing Agents:    314  542  583  582  605  
Total “True” Filing Agents:    3,950  3,941  3,840  3,740  3,666  
________
 ¹  A “filing agent” (in non-bold lower case herein) in SEC terminology 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 from the filing agent (non-bold lower case) who submitted the Filing.  You cannot tell whether a filing agent’s 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).  A Filing is self-filed only when the Filer/Issuer is logged into EDGAR with their 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.  If a Filer/Issuer is logged into a Filing Agent’s site when submitting a Filing, the Filing Agent is the filing agent.  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.  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.  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 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 either have done Filings only for others or have done 32+ Filings for others for each Filing they did for themself as the Filer/Issuer.  The “Filings Ratio” after each name above indicates if the filing agent is a “pure” Filing Agent (shown as “All : 0” when all of their Filings have been for other Registrants) or the ratio of Filings for others versus for themself as a Registrant (e.g., “100+ : 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 its 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 agent 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 # 0001209191-23-004684).

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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 0001209191 (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
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  Fran Finnegan  at  +1 415-420-4604  to discuss your needs.
 
Services We Offer
 
 Complete list of all Filing Agents — 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
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— 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
 Place your ad in the ad space at the top of this page on the right-hand side — when someone is looking for a new Filing Agent, they search Google or Bing, and this page shows up first!
 

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