ALPha Windward LLC is a large advisory firm based in Westwood. It manages $140.62 million of regulatory assets for 144 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Massachusetts and New Hampshire.
ALPha Windward provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of ALPha Windward LLC is $140.62 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 64% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has several streams of revenue. Clients pay ALPha Windward LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The firm provides services to individuals, high net worth individuals, and pooled investment vehicles. The largest group of clients of ALPha Windward is pooled investment vehicles with 1 clients and $64 million of assets under management. Among the 10 most similar advisory firms, ALPha Windward has the 2nd highest percentage of pooled investment vehicles out of all clients.
The amount of regulatory assets under management is $139.61 million for 103 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.
ALPha Windward also advises several private funds. Namely, one other private fund. The minimum investment commitment required of non-related persons is $50,000 for each fund.
The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
The principal office where ALPha Windward LLC performs its advisory services is located at 200 Lowder Brook Drive, Westwood, MA 02090 1178, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 781-326-8880 or by fax 781-326-3446. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at alphawindward.com.