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Rule 605 Market Center Scorecard
ROCKEFELLER FINANCIAL LLC
MPID Firm: ROCKEFELLER FINANCIAL LLC(ROCK)
Status: ACTIVE
Generated: Wed, 14 Oct 2026 18:30:22 GMT
Quarter:2026Q3
Covered Orders159,710Across all reported tiers
Covered Shares35,266,605In Q3 2026
Active Tiers79Order class × notional buckets
Routing Brokers0Disclosed in 606 filings
1. Amended Rule 605 Scorecard vs. Mix-Adjusted Peers — 2026-08
Execution metrics across order classes and the 24 notional × lot categories, benchmarked against what competing market centers delivered on identical symbols.
| Class | Notional × Lot | Orders | Covered Sh | Fill Rate | PI Rate | NPI (bps) | Peer Bench (bps) | Coverage | Rank Pctl | Eff Spread | Speed <1s |
|---|---|---|---|---|---|---|---|---|---|---|---|
| market | <$250 • FRACT | 6,918 | 2,898 | 100.0% | 97.8% | 4.8 bps | 4.2 bps | 49% | 87th | $0.0006 | 100.0% |
| market | <$250 • ODD | 9,597 | 29,473 | — | 97.6% | 5.8 bps | — | — | 41st | — | 95.4% |
| market | <$250 • ROUND | 10 | 6,677 | — | — | — | — | — | — | — | — |
| market | $250–$999 • FRACT | 64 | 45 | — | — | — | — | — | — | — | — |
| market | $250–$999 • ODD | 15,407 | 165,566 | — | 97.6% | 6.0 bps | — | — | 65th | — | 96.1% |
| market | $250–$999 • ROUND | 122 | 22,305 | — | 97.8% | 15.5 bps | — | — | 51st | — | 95.3% |
| market | $1k–$5k • FRACT | 1 | 1 | — | — | — | — | — | — | — | — |
| market | $1k–$5k • ODD | 19,273 | 554,475 | — | 97.2% | 5.4 bps | — | — | 82nd | — | 96.0% |
| market | $1k–$5k • ROUND | 2,587 | 575,807 | — | 97.2% | 9.2 bps | — | — | 70th | — | 97.0% |
| market | $5k–$10k • ODD | 4,159 | 202,413 | — | 96.7% | 4.8 bps | — | — | 84th | — | 96.1% |
| market | $5k–$10k • ROUND | 3,374 | 1,328,831 | — | 66.1% | 6.1 bps | — | — | 69th | — | 97.6% |
| market | $10k–$20k • ODD | 1,506 | 82,218 | — | 97.2% | 5.1 bps | — | — | 81st | — | 97.7% |
| market | $10k–$20k • ROUND | 4,659 | 1,799,899 | — | 91.0% | 5.3 bps | — | — | 83rd | — | 96.9% |
| market | $20k–$50k • ODD | 175 | 11,887 | — | 96.5% | 5.7 bps | — | — | 93rd | — | 97.5% |
| market | $20k–$50k • ROUND | 5,366 | 3,751,727 | — | 90.8% | 4.8 bps | — | — | 87th | — | 97.0% |
| market | $50k–$200k • ROUND | 2,994 | 5,399,329 | — | 82.4% | 3.5 bps | — | — | 85th | — | 97.7% |
| market | ≥$200k • ROUND | 902 | 9,004,944 | — | 43.7% | -1.3 bps | — | — | 28th | — | 87.6% |
| marketable_limit | <$250 • ODD | 4 | 9 | — | — | — | — | — | — | — | — |
| marketable_limit | $250–$999 • ODD | 7 | 60 | — | — | — | — | — | — | — | — |
| marketable_limit | $250–$999 • ROUND | 1 | 488 | — | — | — | — | — | — | — | — |
| marketable_limit | $1k–$5k • ODD | 22 | 953 | — | — | — | — | — | — | — | — |
| marketable_limit | $1k–$5k • ROUND | 8 | 3,470 | — | — | — | — | — | — | — | — |
| marketable_limit | $5k–$10k • ODD | 5 | 318 | — | — | — | — | — | — | — | — |
| marketable_limit | $5k–$10k • ROUND | 12 | 57,471 | — | — | — | — | — | — | — | — |
| marketable_limit | $10k–$20k • ROUND | 29 | 74,984 | — | — | — | — | — | — | — | — |
| marketable_limit | $20k–$50k • ODD | 1 | 72 | — | — | — | — | — | — | — | — |
| marketable_limit | $20k–$50k • ROUND | 74 | 274,200 | — | — | — | — | — | — | — | — |
| marketable_limit | $50k–$200k • ROUND | 92 | 573,498 | — | — | — | — | — | — | — | — |
| marketable_limit | ≥$200k • ROUND | 57 | 1,550,505 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | <$250 • ODD | 15 | 82 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $250–$999 • ODD | 20 | 238 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $250–$999 • ROUND | 2 | 866 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $1k–$5k • ODD | 57 | 1,438 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $1k–$5k • ROUND | 15 | 4,977 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $5k–$10k • ODD | 18 | 1,086 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $5k–$10k • ROUND | 21 | 54,628 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $10k–$20k • ODD | 5 | 382 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $10k–$20k • ROUND | 25 | 51,144 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $20k–$50k • ROUND | 82 | 182,103 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $50k–$200k • ROUND | 96 | 352,764 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | ≥$200k • ROUND | 53 | 1,270,315 | — | — | — | — | — | — | — | — |
| market | <$250 • FRACT | 8,870 | 2,668 | 100.0% | 99.2% | 4.4 bps | 3.2 bps | 58% | 90th | $0.0001 | 100.0% |
| market | <$250 • ODD | 5,764 | 9,313 | — | 98.2% | 3.7 bps | — | — | 85th | — | 96.1% |
| market | $250–$999 • FRACT | 294 | 209 | 100.0% | 99.4% | 5.8 bps | — | 0% | 96th | $0.0022 | 100.0% |
| market | $250–$999 • ODD | 17,033 | 65,367 | — | 98.1% | 3.9 bps | — | — | 84th | — | 96.8% |
| market | $1k–$5k • FRACT | 7 | 7 | — | — | — | — | — | — | — | — |
| market | $1k–$5k • ODD | 25,411 | 368,094 | — | 97.9% | 4.0 bps | — | — | 91st | — | 97.0% |
| market | $1k–$5k • ROUND | 384 | 44,504 | — | 99.9% | 2.4 bps | — | — | 88th | — | 95.9% |
| market | $5k–$10k • ODD | 7,792 | 249,239 | — | 97.9% | 3.9 bps | — | — | 90th | — | 97.8% |
| market | $5k–$10k • ROUND | 895 | 138,940 | — | 98.4% | 2.0 bps | — | — | 82nd | — | 96.8% |
| market | $10k–$20k • ODD | 3,879 | 165,468 | — | 98.2% | 4.1 bps | — | — | 94th | — | 97.7% |
| market | $10k–$20k • ROUND | 2,554 | 385,181 | — | 97.9% | 2.8 bps | — | — | 83rd | — | 96.3% |
| market | $20k–$50k • ODD | 738 | 35,569 | — | 97.4% | 4.9 bps | — | — | 98th | — | 98.0% |
| market | $20k–$50k • ROUND | 4,172 | 875,245 | — | 97.5% | 3.2 bps | — | — | 86th | — | 97.5% |
| market | $50k–$200k • ODD | 3 | 106 | — | — | — | — | — | — | — | — |
| market | $50k–$200k • ROUND | 2,739 | 1,451,412 | — | 97.1% | 3.5 bps | — | — | 94th | — | 99.0% |
| market | ≥$200k • ROUND | 824 | 3,273,614 | — | 51.7% | -0.3 bps | — | — | 16th | — | 92.0% |
| marketable_limit | <$250 • ODD | 5 | 6 | — | — | — | — | — | — | — | — |
| marketable_limit | $250–$999 • ODD | 9 | 43 | — | — | — | — | — | — | — | — |
| marketable_limit | $1k–$5k • ODD | 31 | 637 | — | — | — | — | — | — | — | — |
| marketable_limit | $5k–$10k • ODD | 8 | 422 | — | — | — | — | — | — | — | — |
| marketable_limit | $5k–$10k • ROUND | 3 | 329 | — | — | — | — | — | — | — | — |
| marketable_limit | $10k–$20k • ODD | 7 | 421 | — | — | — | — | — | — | — | — |
| marketable_limit | $10k–$20k • ROUND | 5 | 1,259 | — | — | — | — | — | — | — | — |
| marketable_limit | $20k–$50k • ODD | 1 | 95 | — | — | — | — | — | — | — | — |
| marketable_limit | $20k–$50k • ROUND | 11 | 8,069 | — | — | — | — | — | — | — | — |
| marketable_limit | $50k–$200k • ROUND | 18 | 14,377 | — | — | — | — | — | — | — | — |
| marketable_limit | ≥$200k • ROUND | 22 | 437,731 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | <$250 • ODD | 17 | 24 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $250–$999 • ODD | 42 | 163 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $1k–$5k • ODD | 109 | 2,075 | — | 100.0% | 2.6 bps | — | — | 11th | — | 47.9% |
| nonmarketable_limit | $5k–$10k • ODD | 34 | 1,368 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $5k–$10k • ROUND | 9 | 1,109 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $10k–$20k • ODD | 17 | 864 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $10k–$20k • ROUND | 28 | 4,070 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $20k–$50k • ODD | 3 | 208 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $20k–$50k • ROUND | 58 | 13,410 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $50k–$200k • ROUND | 46 | 26,466 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | ≥$200k • ROUND | 33 | 293,977 | — | — | — | — | — | — | — | — |
2. Broker-Dealers Routing Here (Reverse 606 Index)
Firms directing customer order flow to this market center under SEC Rule 606(a), with route percentages and PFOF rates.
No broker-dealers identified routing flow to this market center in 2026Q3.
3. Rule 605 Report Files & Ingestion History
Published monthly execution quality data files crawled from vendor and exchange landing pages.
| File Name | Month | Kind | Status | Fetched At | Source URL |
|---|---|---|---|---|---|
| ROCK202608.csv | 202608 | summary | stored | 2026-09-30T21:17:20.841360799+00:00 | File Link ↗ |
| ROCK202608.zip | 202608 | detailed | stored | 2026-09-30T21:17:20.841361831+00:00 | File Link ↗ |
4. Coverage Gaps & Review Limitations
Suppressed Cells
50
Tiers with < 100 covered ordersMissing Files
0
Months unretrievableMethodological Caveats:
- A venue's Rule 605 statistics describe all flow it handled, not this firm's orders.
- 606 route shares are per order, not per share, and list only the top 10 venues plus any venue with at least 5% of non-directed orders.
- FINRA Rule 5310.09 also requires the firm's own order-level review of its executions.
- This report is not legal or compliance advice.
- Net price improvement is in basis points of executed notional (quote midpoint × shares). The PFOF comparison converts the difference to ¢/100 sh at the venue's average executed price; it is an estimate.
- Brokers routing here reflect venue aliases as of the last crosswalk-venues run.
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