Maplewood Investments
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Quarterly Report

Quarterly Report

Note:  Broker-dealers are required to disclose any material arrangements with the venues listed in each section below, including, but not limited to, any internalization or payment for order flow arrangements.

MW0

MAPLEWOOD INVESTMENT ADVISORS

12222 MERIT DRIVE, SUITE 1390

DALLAS, TX 75251

SEC Rule 606 Quarterly Report for the Quarter Ending September 30, 2018

Securities Listed on New York Stock Exchange

Summary Statistics:

  Non-directed orders as percentage of total customer orders                                100.00%
  Market orders as percentage of total market orders                                               86.35%
  Limit orders as percentage of total limit orders                                                         4.46%
  Other orders as percentage of total other orders                                                      9.19%

Venues Receiving Significant Percentage of Total Non-Directed Orders:

 

 

  1.    Citadel Securities LLC

  42.06%

  2.    VIRTU Americas LLC

  26.74%

  3.    G1 Execution Services, LLC

  12.81%

  4.    National Financial Services LLC

  10.03%

  5.    Two Sigma Securities, LLC

  3.06%

  6.    Cboe BYX U.S. Equities Exchange

  1.95%

  7.    NASDAQ Execution Services, LLC

  1.11%

  8.    UBS Securities, LLC

  1.11%

  9.    Cboe BZX U.S. Equities Exchange

  0.56%

10.    Cboe EDGX U.S. Equities Exchange

  0.28%

Information Concerning Significant Venues :


    1.    Citadel Securities LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               40.00%

                  Limit orders as percentage of total limit orders                                       43.75%

                  Other orders as percentage of total other orders                                    60.61%

    2.    VIRTU Americas LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               26.77%

                  Limit orders as percentage of total limit orders                                         6.25%

                  Other orders as percentage of total other orders                                    36.36%

    3.    G1 Execution Services, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               14.84%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

    4.    National Financial Services LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               11.61%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

    5.    Two Sigma Securities, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 3.55%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

    6.    Cboe BYX U.S. Equities Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 2.26%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

    7.    NASDAQ Execution Services, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.00%

                  Limit orders as percentage of total limit orders                                       25.00%

                  Other orders as percentage of total other orders                                      0.00%

    8.    UBS Securities, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.97%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      3.03%

    9.    Cboe BZX U.S. Equities Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.00%

                  Limit orders as percentage of total limit orders                                       12.50%

                  Other orders as percentage of total other orders                                      0.00%

    10.    Cboe EDGX U.S. Equities Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.00%

                  Limit orders as percentage of total limit orders                                         6.25%

                  Other orders as percentage of total other orders                                      0.00%

Securities Listed on The Nasdaq Stock Market

Summary Statistics:

  Non-directed orders as percentage of total customer orders                                100.00%
  Market orders as percentage of total market orders                                               82.03%
  Limit orders as percentage of total limit orders                                                         9.38%
  Other orders as percentage of total other orders                                                      8.59%

Venues Receiving Significant Percentage of Total Non-Directed Orders:

 

 

  1.    Citadel Securities LLC

  41.41%

  2.    VIRTU Americas LLC

  29.69%

  3.    G1 Execution Services, LLC

  12.50%

  4.    National Financial Services LLC

  7.81%

  5.    Two Sigma Securities, LLC

  3.91%

  6.    Cboe EDGX U.S. Equities Exchange

  1.95%

  7.    NASDAQ Execution Services, LLC

  1.17%

  8.    Cboe BYX U.S. Equities Exchange

  1.17%

  9.    UBS Securities, LLC

  0.39%

Information Concerning Significant Venues :


    1.    Citadel Securities LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               38.57%

                  Limit orders as percentage of total limit orders                                       12.50%

                  Other orders as percentage of total other orders                                  100.00%

    2.    VIRTU Americas LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               30.00%

                  Limit orders as percentage of total limit orders                                       54.17%

                  Other orders as percentage of total other orders                                      0.00%

    3.    G1 Execution Services, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               15.24%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

    4.    National Financial Services LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 9.52%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

    5.    Two Sigma Securities, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 4.76%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

    6.    Cboe EDGX U.S. Equities Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.00%

                  Limit orders as percentage of total limit orders                                       20.83%

                  Other orders as percentage of total other orders                                      0.00%

    7.    NASDAQ Execution Services, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.00%

                  Limit orders as percentage of total limit orders                                       12.50%

                  Other orders as percentage of total other orders                                      0.00%

    8.    Cboe BYX U.S. Equities Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 1.43%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

    9.    UBS Securities, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.48%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

Securities Listed on NYSE American or Regional Exchanges

Summary Statistics:

  Non-directed orders as percentage of total customer orders                                100.00%
  Market orders as percentage of total market orders                                               96.76%
  Limit orders as percentage of total limit orders                                                         2.16%
  Other orders as percentage of total other orders                                                      1.08%

Venues Receiving Significant Percentage of Total Non-Directed Orders:

 

 

  1.    Citadel Securities LLC

  40.54%

  2.    VIRTU Americas LLC

  29.73%

  3.    G1 Execution Services, LLC

  17.84%

  4.    Cboe BYX U.S. Equities Exchange

  4.86%

  5.    Two Sigma Securities, LLC

  3.78%

  6.    National Financial Services LLC

  2.16%

  7.    Cboe EDGX U.S. Equities Exchange

  0.54%

  8.    UBS Securities, LLC

  0.54%

Information Concerning Significant Venues :


    1.    Citadel Securities LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               41.34%

                  Limit orders as percentage of total limit orders                                       25.00%

                  Other orders as percentage of total other orders                                      0.00%

    2.    VIRTU Americas LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               29.61%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                  100.00%

    3.    G1 Execution Services, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               17.32%

                  Limit orders as percentage of total limit orders                                       50.00%

                  Other orders as percentage of total other orders                                      0.00%

    4.    Cboe BYX U.S. Equities Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 5.03%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

    5.    Two Sigma Securities, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 3.91%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

    6.    National Financial Services LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 2.23%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

    7.    Cboe EDGX U.S. Equities Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.00%

                  Limit orders as percentage of total limit orders                                       25.00%

                  Other orders as percentage of total other orders                                      0.00%

    8.    UBS Securities, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.56%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

Exchange - Listed Options

Summary Statistics:

  Non-directed orders as percentage of total customer orders                                100.00%
  Market orders as percentage of total market orders                                               53.85%
  Limit orders as percentage of total limit orders                                                       46.15%
  Other orders as percentage of total other orders                                                      0.00%

Venues Receiving Significant Percentage of Total Non-Directed Orders:

 

 

  1.    Cboe Options Exchange

  38.46%

  2.    NASDAQ PHLX Options

  23.08%

  3.    The MIAX Options Exchange

  15.38%

  4.    NYSE American Options

  7.69%

  5.    NYSE Arca Options

  7.69%

  6.    NASDAQ Options Market

  7.69%

Information Concerning Significant Venues :


    1.    Cboe Options Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               71.43%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

    2.    NASDAQ PHLX Options


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               14.29%

                  Limit orders as percentage of total limit orders                                       33.33%

                  Other orders as percentage of total other orders                                      0.00%

    3.    The MIAX Options Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.00%

                  Limit orders as percentage of total limit orders                                       33.33%

                  Other orders as percentage of total other orders                                      0.00%

    4.    NYSE American Options


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               14.29%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

    5.    NYSE Arca Options


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.00%

                  Limit orders as percentage of total limit orders                                       16.67%

                  Other orders as percentage of total other orders                                      0.00%

    6.    NASDAQ Options Market


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.00%

                  Limit orders as percentage of total limit orders                                       16.67%

                  Other orders as percentage of total other orders                                      0.00%