DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Alpha Windward LLC

Former SEC-registered adviserWestwood, MassachusettsCRD 110050SEC 801-55610IAPD
Latest filing Jun 30, 2020
First filing on the tape Jan 26, 2012 · 14 filings
RAUM
$160M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
55%
$88.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$69.9M gross assets
History
14 filings and snapshots on the tape
RAUM$160M as of Jan 27, 2020
Jan 26, 2012$112M then
HNW client RAUM$70.5M as of Jan 27, 2020
Mar 27, 2018$74.6M then
State-registered IARs (5.B.3)2 as of Jan 27, 2020
Jan 26, 20120 then
Employees (5.A)2 as of Jan 27, 2020
Jan 24, 20133 then
Private funds1 as of Jan 27, 2020
Jan 26, 20121 then
RAUM +13% over the last fiscal year+0.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$79.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
50derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.0%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$69.9M, 1 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$70.5M44%
  • Pooled investment vehicles$69.9M44%
  • Individuals$18.0M11%
  • Charitable organizations$1.0M0.6%
  • Corporations and businesses$175,1310.1%
Individual clients
66reported
HNW clients
34reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
141reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$69.9M for 1 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Carr Total Return Fund L. P.Other Private Fund$69.9M53Jan 26, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Baldwin Samuel Carr · Managing Directorcontrol
      since 04/1998 · owns less than 5%
    • Gardner Benjamin Dawson · Managing Director, Chief Compliance Officercontrol
      since 05/1998 · owns less than 5%
    • W. G. Margaret Carr · Owns 100% Jointly With Husband, Samuel B. Carr, Jr.control
      since 04/1990 · owns 75% or more of S.B. Carr Investments, Inc.
    • Baldwin Samuel Carr · President, Owns 100% Jointly With Wife, Margaret W. G. Carrcontrol
      since 04/1990 · owns 75% or more of S.B. Carr Investments, Inc.
    • Gardner Benjamin Dawson · 100% Voting Control Of And 50% Economic Interest, Trustee Of Awbg Nominee Trustcontrol
      since 02/2018 · owns 50% to 75% of B.G. Dawson Investments, Inc.
    • A. B. Cornelia Dawson · Trustee And 100% Beneficiary Of Awbg Nominee Trustcontrol
      since 02/2018 · owns 75% or more of The Awbg Nominee Trust
    Entity owners
    • B.G. Dawson Investments, Inc. · Member, Owner
      direct · owns 50% to 75%
    • S.B. Carr Investments, Inc. · Member, Owner
      direct · owns 50% to 75%
    • The Awbg Nominee Trust · 50% Economic Interest
      indirect · owns 50% to 75% of B.G. Dawson Investments, Inc.
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 144 to 141
      Feb 25, 2019 to Jan 27, 2020
    • HNW clients · 30 to 34
      Feb 25, 2019 to Jan 27, 2020
    • Individual clients · 72 to 66
      Feb 25, 2019 to Jan 27, 2020
    • Assets in custody · $64.0M to $69.9M
      Feb 25, 2019 to Jan 27, 2020
    • Discretionary RAUM · $141M to $160M
      Feb 25, 2019 to Jan 27, 2020
    • HNW RAUM · $56.4M to $70.5M
      Feb 25, 2019 to Jan 27, 2020
    • Individual RAUM · $19.2M to $18.0M
      Feb 25, 2019 to Jan 27, 2020
    • Pooled vehicle RAUM · $64.0M to $69.9M
      Feb 25, 2019 to Jan 27, 2020
    • RAUM · $141M to $160M
      Feb 25, 2019 to Jan 27, 2020
    • Accounts · 149 to 144
      Mar 27, 2018 to Feb 25, 2019
    • HNW clients · 38 to 30
      Mar 27, 2018 to Feb 25, 2019
    • Individual clients · 63 to 72
      Mar 27, 2018 to Feb 25, 2019
    • Assets in custody · $79.6M to $64.0M
      Mar 27, 2018 to Feb 25, 2019
    • Discretionary RAUM · $172M to $141M
      Mar 27, 2018 to Feb 25, 2019
    • HNW RAUM · $74.6M to $56.4M
      Mar 27, 2018 to Feb 25, 2019
    • Individual RAUM · $16.4M to $19.2M
      Mar 27, 2018 to Feb 25, 2019
    • Pooled vehicle RAUM · $79.6M to $64.0M
      Mar 27, 2018 to Feb 25, 2019
    • RAUM · $172M to $141M
      Mar 27, 2018 to Feb 25, 2019
    • Accounts · 152 to 149
      Jan 25, 2017 to Mar 27, 2018
    • HNW clients · unset to 38.0
      Jan 25, 2017 to Mar 27, 2018
    • Individual clients · unset to 63.0
      Jan 25, 2017 to Mar 27, 2018
    • Pooled vehicle clients · unset to 1.0
      Jan 25, 2017 to Mar 27, 2018
    • Assets in custody · $73.0M to $79.6M
      Jan 25, 2017 to Mar 27, 2018
    • Other offices · unset to 0.0
      Jan 25, 2017 to Mar 27, 2018
    • Discretionary RAUM · $158M to $172M
      Jan 25, 2017 to Mar 27, 2018
    • HNW RAUM · unset to 74573675.0
      Jan 25, 2017 to Mar 27, 2018
    • Individual RAUM · unset to 16369810.0
      Jan 25, 2017 to Mar 27, 2018
    • Pooled vehicle RAUM · unset to 79642595.0
      Jan 25, 2017 to Mar 27, 2018
    • RAUM · $158M to $172M
      Jan 25, 2017 to Mar 27, 2018
    • Accounts · 144 to 152
      Nov 17, 2016 to Jan 25, 2017
    • Assets in custody · $63.1M to $73.0M
      Nov 17, 2016 to Jan 25, 2017
    • Discretionary RAUM · $140M to $158M
      Nov 17, 2016 to Jan 25, 2017
    • RAUM · $140M to $158M
      Nov 17, 2016 to Jan 25, 2017
    • Accounts · 149 to 144
      Feb 12, 2015 to Feb 29, 2016
    • Assets in custody · $71.9M to $63.1M
      Feb 12, 2015 to Feb 29, 2016
    • Employees · 3 to 2
      Feb 12, 2015 to Feb 29, 2016
    • Discretionary RAUM · $155M to $140M
      Feb 12, 2015 to Feb 29, 2016
    • RAUM · $155M to $140M
      Feb 12, 2015 to Feb 29, 2016
    • Accounts · 146 to 149
      Apr 24, 2014 to Feb 12, 2015
    • Assets in custody · $71.5M to $71.9M
      Apr 24, 2014 to Feb 12, 2015
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026