| “True” Filing Agent ¹ | Filings | Since 1992 |
# | Filings Ratio... For Others : For Themself ² — SEC CIK ³ |
2023 |
2022 |
2021 |
2020 |
2019 |
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1 | | Donnelley Financial Solutions File16 — All : 0 — 1209191 | 4,684 | 38,353 | 43,882 | 40,050 | 38,303 | 785,527 |
2 | | Donnelley Financial Solutions — All : 0 — 1193125 | 4,551 | 59,191 | 69,001 | 62,490 | 62,972 | 1,291,845 |
3 | | 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 | | Computershare Inc — 100+ : 1 — 1127602 | 2,094 | 15,359 | 17,280 | 17,245 | 19,951 | 272,468 |
7 | | 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 | | 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 | | Donnelley Financial Solutions 06 — 100+ : 1 — 899243 | 1,398 | 12,935 | 16,376 | 11,363 | 9,586 | 91,328 |
12 | | Broadridge Financial Solutions, Inc. — All : 0 — 1567619 | 1,194 | 12,290 | 12,561 | 11,973 | 12,931 | 58,314 |
13 | | 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 | | CT’s hCue — All : 0 — 1225208 | 800 | 7,506 | 8,608 | 8,470 | 9,000 | 195,507 |
20 | | 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 | | 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 | | 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 — |
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| | 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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