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 June 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                                               88.67%
  Limit orders as percentage of total limit orders                                                         9.56%
  Other orders as percentage of total other orders                                                      1.78%
 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

 

 

  1.    VIRTU Americas LLC  38.44%

  2.    Citadel Securities LLC  31.78%

  3.    National Financial Services LLC  11.11%

  4.    G1 Execution Services, LLC  5.78%

  5.    Two Sigma Securities, LLC  2.89%

  6.    Cboe BYX U.S. Equities Exchange  2.44%

  7.    NASDAQ Execution Services, LLC  2.22%

  8.    Cboe EDGX U.S. Equities Exchange  2.00%

  9.    New York Stock Exchange  1.11%

10.    Instinet LLC  0.89%

 

Information Concerning Significant Venues :


    1.    VIRTU Americas LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               41.10%

                  Limit orders as percentage of total limit orders                                       16.28%

                  Other orders as percentage of total other orders                                    25.00%

 

    2.    Citadel Securities LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               32.33%

                  Limit orders as percentage of total limit orders                                       20.93%

                  Other orders as percentage of total other orders                                    62.50%

   3.    National Financial Services LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               12.03%

                  Limit orders as percentage of total limit orders                                         4.65%

                  Other orders as percentage of total other orders                                      0.00%

 

    4.    G1 Execution Services, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 6.52%

                  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                                 3.26%

                  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                                 2.76%

                  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                                       23.26%

                  Other orders as percentage of total other orders                                      0.00%

 

    8.    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                                       20.93%

                  Other orders as percentage of total other orders                                      0.00%

 

    9.    New York Stock 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                                       11.63%

                  Other orders as percentage of total other orders                                      0.00%

 

    10.    Instinet LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 1.00%

                  Limit orders as percentage of total limit orders                                         0.00%

                  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                                               86.70%
  Limit orders as percentage of total limit orders                                                         6.87%
  Other orders as percentage of total other orders                                                      6.44%
 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

 

 

  1.    Citadel Securities LLC  40.77%

  2.    VIRTU Americas LLC  39.06%

  3.    National Financial Services LLC  6.01%

  4.    G1 Execution Services, LLC  5.15%

  5.    Two Sigma Securities, LLC  3.43%

  6.    Instinet LLC  2.58%

  7.    Cboe BYX U.S. Equities Exchange  1.29%

  8.    Maplewood Investment Advisors, Inc.  0.86%

  9.    Cboe EDGX U.S. Equities Exchange  0.43%

10.    NASDAQ Execution Services, LLC  0.43%

 

Information Concerning Significant Venues :


    1.    Citadel Securities LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               38.12%

                  Limit orders as percentage of total limit orders                                       18.75%

                  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                               40.10%

                  Limit orders as percentage of total limit orders                                       62.50%

                  Other orders as percentage of total other orders                                      0.00%

 

    3.    National Financial Services LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 6.93%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    4.    G1 Execution Services, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 5.94%

                  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                                 3.47%

                  Limit orders as percentage of total limit orders                                         6.25%

                  Other orders as percentage of total other orders                                      0.00%

 

    6.    Instinet LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 2.97%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    7.    Cboe BYX U.S. Equities Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 1.49%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    8.    Maplewood Investment Advisors, Inc.


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.99%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    9.    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%

 

    10.    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                                         6.25%

                  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                                               98.82%
  Limit orders as percentage of total limit orders                                                         0.00%
  Other orders as percentage of total other orders                                                      1.18%
 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

 

 

  1.    Citadel Securities LLC  49.41%

  2.    VIRTU Americas LLC  34.71%

  3.    Cboe BYX U.S. Equities Exchange  5.88%

  4.    Instinet LLC  2.94%

  5.    G1 Execution Services, LLC  2.35%

  6.    Two Sigma Securities, LLC  1.76%

  7.    UBS Securities, LLC  1.76%

  8.    BNY Mellon Capital Markets LLC  0.59%

  9.    National Financial Services LLC  0.59%

 

Information Concerning Significant Venues :


    1.    Citadel Securities LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               49.40%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                    50.00%

 

    2.    VIRTU Americas LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               35.12%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    3.    Cboe BYX U.S. Equities Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 5.95%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    4.    Instinet LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 2.98%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    5.    G1 Execution Services, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 2.38%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    6.    Two Sigma Securities, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 1.79%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    7.    UBS Securities, LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 1.19%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                    50.00%

 

    8.    BNY Mellon Capital Markets LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.60%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    9.    National Financial Services LLC


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                                 0.60%

                  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                                               66.67%
  Limit orders as percentage of total limit orders                                                       33.33%
  Other orders as percentage of total other orders                                                      0.00%
 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

 

 

  1.    Cboe Options Exchange  33.33%

  2.    BOX Option Exchange  25.00%

  3.    NYSE American Options  8.33%

  4.    ISE Gemini Options Exchange  8.33%

  5.    The MIAX Options Exchange  8.33%

  6.    MIAX Pearl Exchange  8.33%

  7.    NASDAQ PHLX Options   8.33%

 

Information Concerning Significant Venues :


    1.    CBOE Options Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               50.00%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    2.    BOX Option Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               12.50%

                  Limit orders as percentage of total limit orders                                       50.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    3.    NYSE American 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                                       25.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    4.    ISE Gemini 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                                       25.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    5.    The MIAX Options Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               12.50%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    6.    MIAX Pearl Exchange


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               12.50%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%

 

    7.    NASDAQ PHLX Options


            Types of Orders Routed to Venue :


                  Market orders as percentage of total market orders                               12.50%

                  Limit orders as percentage of total limit orders                                         0.00%

                  Other orders as percentage of total other orders                                      0.00%