SEC Filing Agents

The 25 Most-Active Filing Agents in 2021

			Filings					Since 7/6/92		↓Bottom
#	Filing Agent¹ – SEC CIK²		2021	2020	2019	2018	2017
1	NY	Donnelley Financial Solutions – 1193125	28,783	62,426	62,958	71,681	76,677	1,187,802
2	TX	Toppan Merrill – 1104659	23,809	53,285	27,945	26,337	26,287	530,643
3	DC	Donnelley Financial Solutions File16 – 1209191	19,177	40,050	38,303	39,734	41,718	717,785
4	PA	Confluence Technologies Inc. – 1752724	11,744	37,689	15,554	440	–	65,427
5	NY	Edgar Agents LLC – 1213900	10,681	19,202	10,817	7,718	6,055	82,944
6	NJ	Computershare Inc – 1127602	8,587	17,245	19,951	21,258	19,003	246,322
7	TX	ActiveDisclosure – 1564590	7,756	18,262	14,255	8,538	6,316	63,900
8	NY	Davis Polk & Wardwell LLP 01 – 950103	6,721	24,834	18,014	15,227	12,959	155,829
9	TX	Donnelley Financial Solutions 06 – 899243	6,192	11,363	9,586	9,235	8,687	66,811
10	TX	Broadridge Financial Solutions, Inc. – 1140361	5,683	10,570	8,189	19,890	22,362	317,279
11	NY	Broadridge Financial Solutions, Inc. – 1567619	5,142	11,973	12,931	4,822	903	37,411
12	FL	Filing Agent 1493152 – 1493152	4,930	11,278	9,036	8,273	6,832	51,692
13	PA	DFIN Solutions FundSuiteArc – 1145549	4,721	13,412	5,925	3,482	3,628	66,348
14	NY	CT's hCue – 1225208	4,360	8,470	9,000	9,459	10,807	182,953
15	CA	RDG Filings – 1437749	3,894	9,180	8,716	8,177	7,825	81,133
16		UBS AG – 1114446	3,814	7,169	4,499	5,729	6,110	48,315
17	NY	Quality Edgar - QES – 1839882	3,600	–	–	–	–	3,600
18	DE	Blackrock Global Allocation Fund, Inc. – 834237	2,933	3,218	152	–	–	6,334
19	TX	Section16 Direct – 1179110	2,796	6,706	7,161	7,884	8,778	177,724
20	IA	Workiva Inc. Wdesk FA01 – 1628280	2,711	5,622	4,950	5,385	4,685	31,520
21		Solium Capital Inc – 1562180	2,575	5,514	4,567	3,583	2,659	21,477
22	CA	Rahman Ahmad – 1481057	2,530	720	111	–	–	3,361
23	MD	Norwest Asset Sec Corp Mort PS THR Cert Ser 1998-1 Trust – 1056404	2,459	6,188	5,337	3,897	2,792	51,754
24	CO	Securex Filings – 1214659	2,442	5,235	3,961	3,985	3,793	46,248
25	NC	FilePoint – 1398344	2,397	6,116	5,366	5,030	4,809	41,418
	— 23 Filing Agents¹ — 2 Registrants² —
		Most-Active “True” Filing Agents³:	494	605	640	662	714
		Total “True” Filing Agents³:	3,793	3,752	3,678	3,603	3,529
		Self-Filing Registrants:	24,307	39,659	38,571	37,280	35,728
		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).

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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 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   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 — 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!