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

SEC Filing Agents

The
TOP arrow emoji
25 Most-Active Filing Agents in 2021

As of   Saturday, 5/8/21

FilingsSince
7/6/92
Bottom
#  Filing Agent¹ – SEC CIK² 2021   2020   2019   2018   2017        
 
In descending order
1  
 NY
 
Donnelley Financial Solutions – 119312528,783  62,426  62,958  71,681  76,677  1,187,802
2  
 TX
 
Toppan Merrill – 110465923,809  53,285  27,945  26,337  26,287  530,643
3  
 DC
 
Donnelley Financial Solutions File16 – 120919119,177  40,050  38,303  39,734  41,718  717,785
4  
 PA
 
Confluence Technologies Inc. – 175272411,744  37,689  15,554  440  –  65,427
5  
 NY
 
Edgar Agents LLC – 121390010,681  19,202  10,817  7,718  6,055  82,944
6  
 NJ
 
Computershare Inc – 11276028,587  17,245  19,951  21,258  19,003  246,322
7  
 TX
 
ActiveDisclosure – 15645907,756  18,262  14,255  8,538  6,316  63,900
8  
 NY
 
Davis Polk & Wardwell LLP 01 – 9501036,721  24,834  18,014  15,227  12,959  155,829
9  
 TX
 
Donnelley Financial Solutions 06 – 8992436,192  11,363  9,586  9,235  8,687  66,811
10  
 TX
 
Broadridge Financial Solutions, Inc. – 11403615,683  10,570  8,189  19,890  22,362  317,279
11  
 NY
 
Broadridge Financial Solutions, Inc. – 15676195,142  11,973  12,931  4,822  903  37,411
12  
 FL
 
Filing Agent 1493152 – 14931524,930  11,278  9,036  8,273  6,832  51,692
13  
 PA
 
DFIN Solutions FundSuiteArc – 11455494,721  13,412  5,925  3,482  3,628  66,348
14  
 NY
 
CT's hCue – 12252084,360  8,470  9,000  9,459  10,807  182,953
15  
 CA
 
RDG Filings – 14377493,894  9,180  8,716  8,177  7,825  81,133
16  
Flag of Switzerland emoji
 
UBS AG – 11144463,814  7,169  4,499  5,729  6,110  48,315
17  
 NY
 
Quality Edgar - QES – 18398823,600  –  –  –  –  3,600
18  
 DE
 
Blackrock Global Allocation Fund, Inc. – 8342372,933  3,218  152  –  –  6,334
19  
 TX
 
Section16 Direct – 11791102,796  6,706  7,161  7,884  8,778  177,724
20  
 IA
 
Workiva Inc. Wdesk FA01 – 16282802,711  5,622  4,950  5,385  4,685  31,520
21  
Flag of Canada emoji
 
Solium Capital Inc – 15621802,575  5,514  4,567  3,583  2,659  21,477
22  
 CA
 
Rahman Ahmad – 14810572,530  720  111  –  –  3,361
23  
 MD
 
Norwest Asset Sec Corp Mort PS THR Cert Ser 1998-1 Trust – 10564042,459  6,188  5,337  3,897  2,792  51,754
24  
 CO
 
Securex Filings – 12146592,442  5,235  3,961  3,985  3,793  46,248
25  
 NC
 
FilePoint – 13983442,397  6,116  5,366  5,030  4,809  41,418
 23 Filing Agents¹ — 2 Registrants²
 
Most-Active “True” Filing Agents³:    494605640662714
Total “True” Filing Agents³:    3,7933,7523,6783,6033,529
 
Self-Filing Registrants:    24,30739,65938,57137,28035,728
Active Registrants:     93,824 133,280 130,571 130,015 131,812
________
 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 Filings, an entity must register with the SEC to receive its 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  Not all “true” Filing Agents are listed here.  They are paying us to remain “anonymous” for competitive reasons, mostly to protect their client lists (see Services below).

We are the Only Site in the World
Globe showing Asia-Australia emoji
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 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 24 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
 
 Complete client lists for over 98% 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 ³ above)
 E-mail notifications of first-time Filers — pitch 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!
 

Top

Copyright © 2021 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Sat., May 8, 5:27:09.0pm ET