SEC Filing Agents

The 25 Most-Active Filing Agents in  2023  2022  2021  2020  2019  2018  2017  2016  2015  2014  2013  2012  2011  2010  2009  2008  2007  2006  2005  2004  2003  2002  2001  2000  1999  1998  1997 

	“True” Filing Agent ¹		Filings					Since 1992
#	Filings Ratio...  For Others : For Themself ² — SEC CIK ³		2023	2022	2021	2020	2019
1		Donnelley Financial Solutions File16 — All : 0 — 1209191	4,684	38,353	43,882	40,050	38,303	785,527
2	NY	Donnelley Financial Solutions — All : 0 — 1193125	4,551	59,191	69,001	62,490	62,972	1,291,845
3	TX	Toppan Merrill — 100+ : 1 — 1104659	4,337	49,525	58,501	53,347	27,948	619,263
4		EdgarAgents LLC — All : 0 — 1213900	3,451	31,796	27,696	19,260	10,823	135,273
5		Confluence Technologies Inc. — All : 0 — 1752724	2,127	38,875	37,772	37,689	15,554	132,457
6	NJ	Computershare Inc — 100+ : 1 — 1127602	2,094	15,359	17,280	17,245	19,951	272,468
7	NY	Davis Polk & Wardwell LLP 01 — All : 0 — 950103	1,928	21,433	20,144	24,834	18,014	192,613
8		Filing Agent 1493152 — All : 0 — 1493152	1,641	16,965	15,288	11,294	9,037	80,673
9	TX	Broadridge Financial Solutions, Inc. — 100+ : 1 — 1140361	1,579	14,896	14,029	10,576	8,189	342,106
10		Quality Edgar – QES — All : 0 — 1839882	1,523	14,634	9,795	–	–	25,952
11	TX	Donnelley Financial Solutions 06 — 100+ : 1 — 899243	1,398	12,935	16,376	11,363	9,586	91,328
12	NY	Broadridge Financial Solutions, Inc. — All : 0 — 1567619	1,194	12,290	12,561	11,973	12,931	58,314
13	CA	SEC Connect — 100+ : 1 — 1415889	1,147	6,884	3,176	1,563	803	23,498
14		Newsfile Corp. — All : 0 — 1062993	1,144	11,671	6,486	3,089	2,268	62,418
15		RDG Filings — All : 0 — 1437749	984	10,155	10,075	9,181	8,716	98,454
16		DFIN Solutions FundSuiteArc — All : 0 — 1145549	978	13,861	13,599	13,412	5,925	90,065
17		Solium Capital Inc. — 100+ : 1 — 1562180	849	6,173	5,924	5,514	4,567	31,848
18		Workiva Inc. Wdesk FA01 — All : 0 — 1628280	840	9,639	7,504	5,629	4,950	46,799
19	NY	CT’s hCue — All : 0 — 1225208	800	7,506	8,608	8,470	9,000	195,507
20	CA	Rahman Ahmad — All : 0 — 1481057	767	4,902	6,825	720	111	13,325
21		Securex Filings — All : 0 — 1214659	740	6,912	6,464	5,235	3,964	57,925
22	TX	ActiveDisclosure — All : 0 — 1564590	697	14,673	19,800	18,267	14,256	91,320
23		Fitzgerald Marketing & Communications, LLC — All : 0 — 1445546	659	5,077	5,320	5,048	4,655	71,185
24	FL	Donnelley Financial Solutions — All : 0 — 950170	636	7,377	1,360	14	–	14,369
25		Computershare Trust Co. NA/CCT — All : 0 — 1888524	609	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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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   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 — 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!