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

SEC Filing Agents

The
TOP arrow emoji
25 Most-Active Filing Agents¹ in 2021

As of   Wednesday, 4/21/21

FilingsSince
7/6/92
Bottom
#  Filing Agent¹SEC CIK² 2021   2020   2019   2018   2017        
 
In descending order
1  
 NY
 
Donnelley Financial Solutions – 119312522,257  62,426  62,958  71,681  76,677  1,181,276
2  
 TX
 
Toppan Merrill – 110465920,034  53,283  27,945  26,337  26,287  526,866
3  
 DC
 
Donnelley Financial Solutions File16 – 120919117,186  40,050  38,303  39,734  41,718  715,794
4  
 PA
 
Confluence Technologies Inc. – 175272410,001  37,689  15,554  440  –  63,684
5  
 NY
 
Edgar Agents LLC – 12139009,553  19,187  10,816  7,718  6,055  81,800
6  
 NJ
 
Computershare Inc – 11276027,644  17,245  19,951  21,258  19,003  245,379
7  
 TX
 
ActiveDisclosure – 15645906,107  18,261  14,255  8,538  6,316  62,250
8  
 NY
 
Davis Polk & Wardwell LLP 01 – 9501035,714  24,834  18,014  15,227  12,959  154,822
9  
 TX
 
Donnelley Financial Solutions 06 – 8992435,485  11,363  9,586  9,235  8,687  66,104
10  
 TX
 
Broadridge Financial Solutions, Inc. – 11403614,731  10,566  8,189  19,890  22,362  316,323
11  
 NY
 
Broadridge Financial Solutions, Inc. – 15676194,643  11,973  12,931  4,822  903  36,912
12  
 CA
 
M2 Compliance – 14931524,286  11,278  9,036  8,273  6,832  51,048
13  
 PA
 
DFIN Solutions FundSuiteArc – 11455494,035  13,412  5,925  3,482  3,628  65,662
14  
 NY
 
CT's hCue – 12252083,878  8,470  9,000  9,459  10,807  182,471
15  
Flag of Switzerland emoji
 
UBS AG – 11144463,316  7,169  4,499  5,729  6,110  47,817
16  
 CA
 
RDG Filings – 14377493,288  9,175  8,716  8,177  7,825  80,522
17  
 NY
 
Quality Edgar - QES – 18398822,975  –  –  –  –  2,975
18  
 DE
 
Blackrock Global Allocation Fund, Inc. – 8342372,885  3,218  152  –  –  6,286
19  
 TX
 
Section16 Direct – 11791102,525  6,706  7,161  7,884  8,778  177,453
20  
Flag of Canada emoji
 
Solium Capital Inc – 15621802,251  5,514  4,567  3,583  2,659  21,153
21  
 CO
 
Securex Filings – 12146592,126  5,232  3,956  3,985  3,793  45,924
22  
 IA
 
Workiva Inc. Wdesk FA01 – 16282802,066  5,622  4,950  5,385  4,685  30,875
23  
 CA
 
Rahman Ahmad – 14810572,017  720  111  –  –  2,848
24  
 NC
 
FilePoint – 13983441,983  6,114  5,366  5,030  4,809  41,002
25  
 MD
 
Norwest Asset Sec Corp Mort PS THR Cert Ser 1998-1 Trust – 10564041,940  6,188  5,337  3,897  2,792  51,235
 23 Filing Agents¹ — 2 Registrants²
 
Most-Active “True” Filing Agents³:    486606640662714
Total “True” Filing Agents³:    3,7913,7533,6783,6033,529
 
Self-Filing Registrants:    22,06839,65838,57137,28035,728
Active Registrants:     87,646 133,276 130,571 130,015 131,812
________
 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 a Filing, an entity must first register with the SEC to receive an SEC 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  Some “true” Filing Agents are not listed here.  They are paying us to remain “anonymous” for competitive reasons, mostly to protect their client lists from easy access.

We are the Only Site in the World
Globe showing Americas 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) in the SEC’s Company and Person Lookup!
 
To see more or all registered Filing Agents or get information on them:  Please submit your request on our Help page or call us
Call me hand emoji
at +1 415-420-4604.  For Filing Agents, it’s great for “new business” prospecting.

Top

Copyright © 2021 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Fri., Apr. 23, 6:27:46.0am ET