ALPHA WINDWARD LLC

HTTP://WWW.ALPHAWINDWARD.COM WESTWOOD, MA Investment Advisor How do I update this listing?

Alpha Windward is based out of Westwood. Alpha Windward is a large advisory firm with 103 clients and discretionary assets under management (AUM) of $140,615,115 (Form ADV from 2019-02-25). Their last reported 13F filing for Q3 2019 included $147,794,000 in managed 13F securities and a top 10 holdings concentration of 27.38%. Alpha Windward's largest holding is iShares Russell Mid-Cap ETF with shares held of 166,997. Alpha Windward has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 56 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $147.794 Million
  • Prior Market Value $155.822 Million
  • New Purchases29 stocks
  • Additional Purchases73 stocks
  • Sold out of27 stocks
  • Reduced holdings in128 stocks
  • Top 10 Holdings % 27.38 %
  • Turnover % [1]:14.07%
  • Turnover Alt % [2]: 16.96 %
  • Time Held Top20:19.50 quarters
  • Time Held Top10:30.70 quarters
  • Time Held All:21.10 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -1.0%
Performance Last 4 Quarters: -2.89%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

ALPHA WINDWARD LLC
Classified as Hedge Fund
200 LOWDER BROOK DRIVE SUITE 2400
WESTWOOD MA    02090-1178
Country: United States

Business Phone: 781-326-8880
Fax: 781-326-3446
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: MA
Number of employees: 2
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 63,997,200
Total Number of Clients: 103
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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ALPHA WINDWARD LLC

ownership team - last updated 2019-02-25
Name Title Start Date Direct/Indirect % Ownership
S.B. CARR INVESTMENTS, INC. MEMBER, OWNER 04/01/1998 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ALPHA WINDWARD LLC MEMBER, OWNER direct 1998-04-01
B.G. DAWSON INVESTMENTS, INC. MEMBER, OWNER 07/01/1998 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ALPHA WINDWARD LLC MEMBER, OWNER direct 1998-07-01
CARR, SAMUEL, BALDWIN MANAGING DIRECTOR 04/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
S.B. CARR INVESTMENTS, INC. PRESIDENT, TREASURER, MANAGING DIRECTOR, CIO direct 1990-05-01
ALPHA WINDWARD LLC MANAGING DIRECTOR, MEMBER, OWNER direct 1998-04-01
CLEARWATER MANAGEMENT COMPANY, INC. DIRECTOR direct 2000-03-01
DAWSON, BENJAMIN, GARDNER MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER 05/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALPHA WINDWARD LLC MANAGING DIRECTOR, MEMBER, OWNER, CHIEF COMPLIANCE OFFICER direct 1998-05-01
WOODSTOCK CORPORATION TRUSTEE OF STOCKHOLDERS. direct 1989-10-01 2001-10-15
WOODSTOCK CORPORATION TRUSTEE OF C.P. PAINE REV'LE & THE MORRIS F. LACROIX TRUSTS FBO R.L. DARLING, J.L. CROCKER, S.L. PHIPPEN, & E.L.DABNEY ET AL. direct 1989-10-01 2001-10-31
WOODSTOCK CORPORATION TRUSTEE OF THE MORRIS F. LACROIX TRUSTS FBO R.L. DARLING, J.L. CROCKER, S.L. PHIPPEN, & E.L.DABNEY ET AL. direct 1989-10-01 2004-06-30
ALPHA WINDWARD LLC MANAGING DIRECTOR, MEMBER, OWNER direct 1998-05-01 2005-09-07
WOODSTOCK CORPORATION TRUSTEE OF THE MORRIS F. LACROIX TRUSTS FBO R.L. DARLING & S.L. PHIPPEN ET AL. direct 1989-10-01 2011-01-21
CARR, SAMUEL, BALDWIN PRESIDENT, OWNS 100% JOINTLY WITH WIFE, MARGARET W. G. CARR S.B. CARR INVESTMENTS, INC. 04/01/1990 Indirect 75% or more
Fund Name Position direct/indirect start date end date
S.B. CARR INVESTMENTS, INC. PRESIDENT, TREASURER, MANAGING DIRECTOR, CIO direct 1990-05-01
ALPHA WINDWARD LLC MANAGING DIRECTOR, MEMBER, OWNER direct 1998-04-01
CLEARWATER MANAGEMENT COMPANY, INC. DIRECTOR direct 2000-03-01
CARR, MARGARET, W. G. OWNS 100% JOINTLY WITH HUSBAND, SAMUEL B. CARR, JR. S.B. CARR INVESTMENTS, INC. 04/01/1990 Indirect 75% or more
Fund Name Position direct/indirect start date end date
S.B. CARR INVESTMENTS, INC. CLERK, VICE PRESIDENT direct 1990-10-01
ALPHA WINDWARD LLC MEMBER, OWNER direct 1998-04-01
THE AWBG NOMINEE TRUST 50% ECONOMIC INTEREST B.G. DAWSON INVESTMENTS, INC. 02/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
5TQ CAPITAL, LLC CHIEF INVESTMENT OFFICER (CIO) direct 2016-07-01
AIC INVESTMENT SERVICES INC. CONTROLLING SHAREHOLDER indirect 2000-03-01
PORTLAND INVESTMENT COUNSEL INC. CONTROLLING SHAREHOLDER indirect 2000-03-01
PORTLAND INVESTMENT COUNSEL INC. CONTROLLING SHAREHOLDER indirect 2008-01-01
UMBRELLA INVESTMENTS, LTD DIRECTOR direct 1996-06-01
SHAUNESSY & CO. LTD. CHIEF COMPLIANCE OFFICER direct 2000-12-01
SHAUNESSY INVESTMENT COUNSEL INC. PRESIDENT direct 2000-12-01
INDEA CAPITAL PTE LIMITED DIRECTOR direct 2005-03-01
EJF CAPITAL LLC CHIEF FINANCIAL OFFICER (EJF INVESTMENTS MANAGER LLC) direct 2017-01-01
IRON PARTNERS LLC PARTNER direct 2007-07-01
G CAPITAL ADVISORS, LLC MEMBER OWNER direct 2009-01-01
SQUADRON CAPITAL ADVISORS LIMITED SHAREHOLDER indirect 2004-12-01
SQUADRON CAPITAL ADVISORS LIMITED SHAREHOLDER indirect 2006-05-01
SQUADRON CAPITAL ADVISORS LIMITED SHAREHOLDER direct 2006-05-01
ALINDA CAPITAL PARTNERS LTD MEMBER OF ALINDA CAPITAL PARTNERS LLC (RELYING ADVISER) direct 2012-03-01
ALINDA CAPITAL PARTNERS LTD MEMBER OF ALINDA CAPITAL LLP (RELYING ADVISER) direct 2012-03-01
HARRIS PRESTON & PARTNERS, LLC MANAGING MEMBER direct 2012-01-01
GI MANAGER L.P. OWNER direct 2012-05-01
TIKEHAU CAPITAL US OWNER indirect 2017-04-01
TIKEHAU CAPITAL US OWNER direct 2017-04-01
TIKEHAU CAPITAL US OWNER indirect 2017-04-01
DAWSON, BENJAMIN, GARDNER 100% VOTING CONTROL OF AND 50% ECONOMIC INTEREST, TRUSTEE OF AWBG NOMINEE TRUST B.G. DAWSON INVESTMENTS, INC. 02/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ALPHA WINDWARD LLC MANAGING DIRECTOR, MEMBER, OWNER, CHIEF COMPLIANCE OFFICER direct 1998-05-01
WOODSTOCK CORPORATION TRUSTEE OF STOCKHOLDERS. direct 1989-10-01 2001-10-15
WOODSTOCK CORPORATION TRUSTEE OF C.P. PAINE REV'LE & THE MORRIS F. LACROIX TRUSTS FBO R.L. DARLING, J.L. CROCKER, S.L. PHIPPEN, & E.L.DABNEY ET AL. direct 1989-10-01 2001-10-31
WOODSTOCK CORPORATION TRUSTEE OF THE MORRIS F. LACROIX TRUSTS FBO R.L. DARLING, J.L. CROCKER, S.L. PHIPPEN, & E.L.DABNEY ET AL. direct 1989-10-01 2004-06-30
ALPHA WINDWARD LLC MANAGING DIRECTOR, MEMBER, OWNER direct 1998-05-01 2005-09-07
WOODSTOCK CORPORATION TRUSTEE OF THE MORRIS F. LACROIX TRUSTS FBO R.L. DARLING & S.L. PHIPPEN ET AL. direct 1989-10-01 2011-01-21
DAWSON, CORNELIA, A. B. TRUSTEE AND 100% BENEFICIARY OF AWBG NOMINEE TRUST THE AWBG NOMINEE TRUST 02/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ALPHA WINDWARD LLC MEMBER, OWNER direct 1998-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CARR TOTAL RETURN FUND L. P. United States 805-7016004209 Other Private Fund POOLED EQUITY FUND 63,997,200 50,000

ALPHA WINDWARD LLC

ownership team - last updated 2017-01-25
Name Title Start Date Direct/Indirect % Ownership
DAWSON, BENJAMIN, GARDNER MANAGING DIRECTOR, MEMBER, OWNER, CHIEF COMPLIANCE OFFICER 05/01/1998 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ALPHA WINDWARD LLC MANAGING DIRECTOR, MEMBER, OWNER, CHIEF COMPLIANCE OFFICER direct 1998-05-01
WOODSTOCK CORPORATION TRUSTEE OF STOCKHOLDERS. direct 1989-10-01 2001-10-15
WOODSTOCK CORPORATION TRUSTEE OF C.P. PAINE REV'LE & THE MORRIS F. LACROIX TRUSTS FBO R.L. DARLING, J.L. CROCKER, S.L. PHIPPEN, & E.L.DABNEY ET AL. direct 1989-10-01 2001-10-31
WOODSTOCK CORPORATION TRUSTEE OF THE MORRIS F. LACROIX TRUSTS FBO R.L. DARLING, J.L. CROCKER, S.L. PHIPPEN, & E.L.DABNEY ET AL. direct 1989-10-01 2004-06-30
ALPHA WINDWARD LLC MANAGING DIRECTOR, MEMBER, OWNER direct 1998-05-01 2005-09-07
WOODSTOCK CORPORATION TRUSTEE OF THE MORRIS F. LACROIX TRUSTS FBO R.L. DARLING & S.L. PHIPPEN ET AL. direct 1989-10-01 2011-01-21
S.B. CARR INVESTMENTS, INC. MEMBER, OWNER 04/01/1998 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ALPHA WINDWARD LLC MEMBER, OWNER direct 1998-04-01
B.G. DAWSON INVESTMENTS, INC. MEMBER, OWNER 07/01/1998 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ALPHA WINDWARD LLC MEMBER, OWNER direct 1998-07-01
CARR, SAMUEL, BALDWIN MANAGING DIRECTOR, MEMBER, OWNER 04/01/1998 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
S.B. CARR INVESTMENTS, INC. PRESIDENT, TREASURER, MANAGING DIRECTOR, CIO direct 1990-05-01
ALPHA WINDWARD LLC MANAGING DIRECTOR, MEMBER, OWNER direct 1998-04-01
CLEARWATER MANAGEMENT COMPANY, INC. DIRECTOR direct 2000-03-01
CARR, MARGARET, W. G. MEMBER, OWNER 04/01/1998 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
S.B. CARR INVESTMENTS, INC. CLERK, VICE PRESIDENT direct 1990-10-01
ALPHA WINDWARD LLC MEMBER, OWNER direct 1998-04-01
DAWSON, CORNELIA, A. B. MEMBER, OWNER 07/01/1998 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ALPHA WINDWARD LLC MEMBER, OWNER direct 1998-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CARR TOTAL RETURN FUND L. P. United States 805-7016004209 Other Private Fund POOLED EQUITY FUND 73,049,109 50,000

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