The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities
OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
   None
Entity Type
0001198415
ALTEGRIS WINTON FUTURES FUND LP
WINTON FUTURES FUND LP (US)
   Corporation
X Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
Altegris Winton Futures Fund, L.P.
Jurisdiction of Incorporation/Organization
COLORADO
Year of Incorporation/Organization
X Over Five Years Ago
   Within Last Five Years (Specify Year)
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Altegris Winton Futures Fund, L.P.
Street Address 1 Street Address 2
1202 BERGEN PARKWAY SUITE 212
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
EVERGREEN COLORADO 80439-9559 303 674 1328

3. Related Persons

Last Name First Name Middle Name
Altegris Portfolio Management Inc n/a
Street Address 1 Street Address 2
1202 Bergen Parkway Suite 212
City State/Province/Country ZIP/PostalCode
Evergreen COLORADO 80439
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

General Partner of Issuer
Last Name First Name Middle Name
Sundt Jon C
Street Address 1 Street Address 2
1200 Prospect Street Suite 400
City State/Province/Country ZIP/PostalCode
La Jolla CALIFORNIA 92037
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of Issuer's GP
Last Name First Name Middle Name
Amedeo Robert J
Street Address 1 Street Address 2
1202 Bergen Parkway Suite 212
City State/Province/Country ZIP/PostalCode
Evergreen COLORADO 80439
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of Issuer's GP
Last Name First Name Middle Name
Osborne Matthew C
Street Address 1 Street Address 2
1200 Prospect Street Suite 400
City State/Province/Country ZIP/PostalCode
La Jolla CALIFORNIA 92037
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of Issuer's GP
Last Name First Name Middle Name
Pfister Richard G
Street Address 1 Street Address 2
1200 Prospect Street Suite 400
City State/Province/Country ZIP/PostalCode
La Jolla CALIFORNIA 92037
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of Issuer's GP

4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
   Insurance
   Investing
   Investment Banking
X Pooled Investment Fund
   Hedge Fund
   Private Equity Fund
   Venture Capital Fund
X Other Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes X No
   Other Banking & Financial Services
   Business Services
Energy
   Coal Mining
   Electric Utilities
   Energy Conservation
   Environmental Services
   Oil & Gas
   Other Energy
Health Care
   Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
   REITS & Finance
   Residential
   Other Real Estate
  
 Retailing
  
 Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
  
 Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
   No Revenues    No Aggregate Net Asset Value
   $1 - $1,000,000    $1 - $5,000,000
   $1,000,001 - $5,000,000    $5,000,001 - $25,000,000
   $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
   Over $100,000,000 X Over $100,000,000
   Decline to Disclose    Decline to Disclose
   Not Applicable    Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

   Rule 504(b)(1) (not (i), (ii) or (iii))    Rule 505
   Rule 504 (b)(1)(i) X Rule 506
   Rule 504 (b)(1)(ii)    Securities Act Section 4(5)
   Rule 504 (b)(1)(iii)    Investment Company Act Section 3(c)
   Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
   Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 1999-11-03    First Sale Yet to Occur
X Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
X Yes    No

9. Type(s) of Securities Offered (select all that apply)

   Equity X Pooled Investment Fund Interests
   Debt    Tenant-in-Common Securities
   Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
   Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security    Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
   Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $10,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Altegris Investments Inc 8258
Street Address 1 Street Address 2
1200 Prospect Street Suite 400
City State/Province/Country ZIP/Postal Code
La Jolla CALIFORNIA 92037
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Commonwealth Financial Network 8032
Street Address 1 Street Address 2
29 Sawyer Road
City State/Province/Country ZIP/Postal Code
Waltham MASSACHUSETTS 02453-3483
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
C.K. Cooper 106578
Street Address 1 Street Address 2
18300 Von Karman Avenue Suite 700
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92612
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
NEW YORK
NORTH CAROLINA
LOUISIANA
GEORGIA
WISCONSIN
COLORADO
OHIO
OKLAHOMA
MINNESOTA
NEBRASKA
NEVADA
MARYLAND
MICHIGAN
TEXAS
KENTUCKY
WASHINGTON
ARIZONA
ILLINOIS
OREGON
INDIANA
MASSACHUSETTS
WEST VIRGINIA
CALIFORNIA
WYOMING
HAWAII
PENNSYLVANIA
NORTH DAKOTA
FLORIDA
CONNECTICUT
KANSAS
NEW JERSEY
IOWA
MISSOURI
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Uhlmann Price Securities LLC 42854
Street Address 1 Street Address 2
141 W. Jackson Blvd Suite 1340A
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60604
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Arete Wealth Management LLC 44856
Street Address 1 Street Address 2
9 Crystal Lake Road Suite 100
City State/Province/Country ZIP/Postal Code
Lake in the Hills ILLINOIS 60156
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
NEW YORK
NORTH CAROLINA
LOUISIANA
GEORGIA
DISTRICT OF COLUMBIA
MONTANA
WISCONSIN
COLORADO
OHIO
MARYLAND
MICHIGAN
TEXAS
ARIZONA
ILLINOIS
OREGON
NEW MEXICO
INDIANA
MASSACHUSETTS
MISSISSIPPI
ALABAMA
UTAH
CALIFORNIA
WYOMING
PENNSYLVANIA
FLORIDA
ARKANSAS
IOWA
TENNESSEE
IDAHO
Recipient
Recipient CRD Number X None
morethan 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Polar Investment Counsel Inc 42847
Street Address 1 Street Address 2
19547 210th Ave NE
City State/Province/Country ZIP/Postal Code
Thief River Falls MINNESOTA 56701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
LOUISIANA
GEORGIA
DISTRICT OF COLUMBIA
OHIO
MINNESOTA
KENTUCKY
WASHINGTON
ILLINOIS
OREGON
NEW MEXICO
MASSACHUSETTS
MISSISSIPPI
WEST VIRGINIA
HAWAII
FLORIDA
KANSAS
SOUTH DAKOTA
ALASKA
TENNESSEE
IDAHO
NEW YORK
NORTH CAROLINA
NEW HAMPSHIRE
MONTANA
COLORADO
WISCONSIN
OKLAHOMA
NEBRASKA
NEVADA
MICHIGAN
MARYLAND
TEXAS
VERMONT
ARIZONA
INDIANA
ALABAMA
CALIFORNIA
UTAH
WYOMING
NORTH DAKOTA
PENNSYLVANIA
ARKANSAS
CONNECTICUT
NEW JERSEY
MAINE
MISSOURI
IOWA
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research Inc 39543
Street Address 1 Street Address 2
1776 Pleasant Plain Rd
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556-8757
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Purshe Kaplan Sterling Investments 35747
Street Address 1 Street Address 2
18 Corporate Woods Blvd
City State/Province/Country ZIP/Postal Code
Albany NEW YORK 12211
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc 14503
Street Address 1 Street Address 2
8620 W. 110th Street #200
City State/Province/Country ZIP/Postal Code
Overland Park KANSAS 66210-9651
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Financial West Investment Group Inc 16668
Street Address 1 Street Address 2
4510 E. Thousand Oaks Blvd
City State/Province/Country ZIP/Postal Code
Westlake Village CALIFORNIA 91359-5123
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel Fisher & Company Financial Services 13609
Street Address 1 Street Address 2
701 TAMA STREET, Bldg B
City State/Province/Country ZIP/Postal Code
Marion IOWA 52302-0609
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Synergy Investment Group LLC 46035
Street Address 1 Street Address 2
8320 University Executive Park Dr Suite 112
City State/Province/Country ZIP/Postal Code
Charlotte NORTH CAROLINA 28262
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
LOUISIANA
GEORGIA
DISTRICT OF COLUMBIA
OHIO
MINNESOTA
KENTUCKY
WASHINGTON
ILLINOIS
OREGON
NEW MEXICO
MASSACHUSETTS
MISSISSIPPI
DELAWARE
WEST VIRGINIA
HAWAII
FLORIDA
KANSAS
SOUTH DAKOTA
TENNESSEE
IDAHO
RHODE ISLAND
NEW YORK
NORTH CAROLINA
NEW HAMPSHIRE
MONTANA
COLORADO
WISCONSIN
OKLAHOMA
NEBRASKA
NEVADA
MICHIGAN
MARYLAND
TEXAS
VERMONT
ARIZONA
INDIANA
ALABAMA
CALIFORNIA
UTAH
WYOMING
NORTH DAKOTA
PENNSYLVANIA
ARKANSAS
CONNECTICUT
NEW JERSEY
MISSOURI
IOWA
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Girard Securities 18697
Street Address 1 Street Address 2
9560 Waples Street Suite B
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92121
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cascade Financial Management Inc 119030
Street Address 1 Street Address 2
950 17th St, Ste 950
City State/Province/Country ZIP/Postal Code
Denver COLORADO 80202
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
NORTH CAROLINA
NEW YORK
LOUISIANA
NEW HAMPSHIRE
GEORGIA
MONTANA
WISCONSIN
COLORADO
OHIO
OKLAHOMA
NEVADA
MINNESOTA
NEBRASKA
MARYLAND
MICHIGAN
TEXAS
KENTUCKY
WASHINGTON
ARIZONA
ILLINOIS
OREGON
NEW MEXICO
INDIANA
MASSACHUSETTS
ALABAMA
UTAH
CALIFORNIA
WYOMING
HAWAII
PENNSYLVANIA
NORTH DAKOTA
FLORIDA
ARKANSAS
CONNECTICUT
KANSAS
NEW JERSEY
SOUTH DAKOTA
ALASKA
MAINE
IOWA
MISSOURI
IDAHO
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
B C Ziegler 61
Street Address 1 Street Address 2
200 S. Wacker Dr. Suite 2000
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60606
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ING Financial Partners 2882
Street Address 1 Street Address 2
909 Locust Street
City State/Province/Country ZIP/Postal Code
Des Moines IOWA 50309
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
LPL Financial 6413
Street Address 1 Street Address 2
9785 Towne Centre Drive
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92121-1968
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Multi-Financial Securities Corp 10299
Street Address 1 Street Address 2
1209 Broadway 14th Floor
City State/Province/Country ZIP/Postal Code
Denver COLORADO 80203
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
SII Investments Inc 2225
Street Address 1 Street Address 2
5555 Grande Market Drive
City State/Province/Country ZIP/Postal Code
Appleton WISCONSIN 54913-8403
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sunbelt Securities 42180
Street Address 1 Street Address 2
5075 Westheimer Suite 670
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77056
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
NORTH CAROLINA
VIRGINIA
LOUISIANA
COLORADO
OHIO
OKLAHOMA
MINNESOTA
NEVADA
MICHIGAN
MARYLAND
TEXAS
WASHINGTON
ARIZONA
ILLINOIS
NEW MEXICO
MASSACHUSETTS
MISSISSIPPI
CALIFORNIA
WYOMING
PENNSYLVANIA
FLORIDA
ARKANSAS
KANSAS
NEW JERSEY
MISSOURI
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Wunderlich Securities 2543
Street Address 1 Street Address 2
6000 Poplar Suite 150
City State/Province/Country ZIP/Postal Code
Memphis TENNESSEE 38119
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investment Centers of America Inc 16443
Street Address 1 Street Address 2
5555 Grande Market Drive
City State/Province/Country ZIP/Postal Code
Appleton WISCONSIN 54913-8403
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
National Planning Corporation 29604
Street Address 1 Street Address 2
401 Wilshire Blve Suite 1100
City State/Province/Country ZIP/Postal Code
Santa Monica CALIFORNIA 90401
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Financial Network Investment Corp 13572
Street Address 1 Street Address 2
200 N. Sepulveda Blvd., Ste 1300
City State/Province/Country ZIP/Postal Code
El Segundo CALIFORNIA 90245-5672
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
First Independent Financial Services, Inc,. 128904
Street Address 1 Street Address 2
7134 South Yale, Ste 560
City State/Province/Country ZIP/Postal Code
Tulsa OKLAHOMA 74136
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
NEW YORK
LOUISIANA
GEORGIA
COLORADO
OHIO
NEVADA
MARYLAND
TEXAS
WASHINGTON
VERMONT
ARIZONA
ILLINOIS
NEW MEXICO
INDIANA
MASSACHUSETTS
DELAWARE
ALABAMA
UTAH
CALIFORNIA
WYOMING
HAWAII
PENNSYLVANIA
FLORIDA
ARKANSAS
KANSAS
IOWA
MISSOURI
TENNESSEE
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FSC Securities Corporation 7461
Street Address 1 Street Address 2
2300 Windy Ridge Pkwy, Ste 1100
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30339
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Geneos Wealth Management, Inc 120894
Street Address 1 Street Address 2
9055 E. Mineral Circle, Ste 200
City State/Province/Country ZIP/Postal Code
Centennial COLORADO 80112
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Glen Eagle Advisors LLC 124504
Street Address 1 Street Address 2
200 American Metro Blvd., Ste 114
City State/Province/Country ZIP/Postal Code
Hamilton NEW JERSEY 08619
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
NEW YORK
NORTH CAROLINA
VIRGINIA
GEORGIA
DISTRICT OF COLUMBIA
COLORADO
OHIO
MARYLAND
MICHIGAN
TEXAS
KENTUCKY
WASHINGTON
ARIZONA
ILLINOIS
MASSACHUSETTS
DELAWARE
WEST VIRGINIA
ALABAMA
CALIFORNIA
PENNSYLVANIA
FLORIDA
ARKANSAS
CONNECTICUT
NEW JERSEY
MAINE
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Harrison Douglas, Inc. 16515
Street Address 1 Street Address 2
3025 South Parker Rd, #801
City State/Province/Country ZIP/Postal Code
Aurora COLORADO 80014
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
NORTH CAROLINA
CALIFORNIA
GEORGIA
COLORADO
FLORIDA
OHIO
CONNECTICUT
OKLAHOMA
NEBRASKA
NEVADA
ARIZONA
TENNESSEE
MISSOURI
INDIANA
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group, LLC 7717
Street Address 1 Street Address 2
12636 High Bluff Dr., Ste 100
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92130
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Invest Financial Corporation 12984
Street Address 1 Street Address 2
8745 Henderson Rd., Ste 300
City State/Province/Country ZIP/Postal Code
Tampa FLORIDA 33634
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lara, Shull & May, LLC 145589
Street Address 1 Street Address 2
7600 Leesburg Pike, Ste 120 East
City State/Province/Country ZIP/Postal Code
Falls Church VIRGINIA 22043
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
NORTH CAROLINA
NEW YORK
LOUISIANA
NEW HAMPSHIRE
GEORGIA
DISTRICT OF COLUMBIA
WISCONSIN
COLORADO
OHIO
OKLAHOMA
MINNESOTA
NEVADA
MARYLAND
MICHIGAN
TEXAS
WASHINGTON
VERMONT
ARIZONA
ILLINOIS
OREGON
NEW MEXICO
INDIANA
MASSACHUSETTS
DELAWARE
WEST VIRGINIA
UTAH
CALIFORNIA
WYOMING
PENNSYLVANIA
FLORIDA
ARKANSAS
CONNECTICUT
KANSAS
NEW JERSEY
ALASKA
MISSOURI
IDAHO
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Madison Avenue Securities, Inc. 23224
Street Address 1 Street Address 2
10731 Treena St., Ste 201
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92131
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Meridian United Capital, LLC 122924
Street Address 1 Street Address 2
8800 No. Gainey Center Dr., Ste 176
City State/Province/Country ZIP/Postal Code
Scottsdale ARIZONA 85258
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
VIRGINIA
NEW YORK
NORTH CAROLINA
GEORGIA
MONTANA
WISCONSIN
COLORADO
OHIO
OKLAHOMA
MINNESOTA
MARYLAND
MICHIGAN
TEXAS
WASHINGTON
ARIZONA
ILLINOIS
OREGON
INDIANA
WEST VIRGINIA
UTAH
CALIFORNIA
PENNSYLVANIA
FLORIDA
ARKANSAS
CONNECTICUT
KANSAS
NEW JERSEY
ALASKA
MISSOURI
IDAHO
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Money Concepts Capital Group 12963
Street Address 1 Street Address 2
11440 North Jog Road
City State/Province/Country ZIP/Postal Code
Palm Beach Gardens FLORIDA 33418-3764
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mutual Service Corporation 4806
Street Address 1 Street Address 2
200 Australian Ave South
City State/Province/Country ZIP/Postal Code
West Palm Beach FLORIDA 33401-5012
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Spire Securities, LLC 144131
Street Address 1 Street Address 2
12355 Sunrise Valley Dr., Ste 305
City State/Province/Country ZIP/Postal Code
Reston VIRGINIA 20191
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
NORTH CAROLINA
NEW YORK
LOUISIANA
GEORGIA
DISTRICT OF COLUMBIA
WISCONSIN
COLORADO
OHIO
OKLAHOMA
NEBRASKA
MARYLAND
MICHIGAN
TEXAS
WASHINGTON
ARIZONA
ILLINOIS
OREGON
NEW MEXICO
INDIANA
MASSACHUSETTS
DELAWARE
WEST VIRGINIA
ALABAMA
CALIFORNIA
WYOMING
HAWAII
PENNSYLVANIA
NORTH DAKOTA
FLORIDA
CONNECTICUT
KANSAS
NEW JERSEY
MAINE
TENNESSEE
IOWA
MISSOURI
IDAHO
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Stateside Securities, LLC 13178
Street Address 1 Street Address 2
2002 Summit Blvd. Ste 1000
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30319
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
NEW YORK
NORTH CAROLINA
ALABAMA
CALIFORNIA
GEORGIA
FLORIDA
OHIO
CONNECTICUT
TEXAS
NEW JERSEY
WASHINGTON
IOWA
TENNESSEE
MASSACHUSETTS
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sterne, Agee & Leach, Inc. 791
Street Address 1 Street Address 2
800 Shades Creek Pkwy, Ste 700
City State/Province/Country ZIP/Postal Code
Birmingham ALABAMA 35209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Stifel, Nicolaus & Company, Incorporated 793
Street Address 1 Street Address 2
501 North Broadway
City State/Province/Country ZIP/Postal Code
St. Louis MISSOURI 63102
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors, Inc. 25803
Street Address 1 Street Address 2
5185 Peachtree Pkwy, Ste 280
City State/Province/Country ZIP/Postal Code
Norcross GEORGIA 30092
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Veritrust Financial, LLC 106594
Street Address 1 Street Address 2
3755 Capital Highway South, Ste 130
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78704
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WFG Investments, Inc. 22704
Street Address 1 Street Address 2
2711 N. Haskell Ave., Ste 2900
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75204
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Comprehensive Asset Management and Servicing, Inc. 43814
Street Address 1 Street Address 2
2001 Route 46, Suite 506
City State/Province/Country ZIP/Postal Code
Parsippany NEW JERSEY 07054
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
RHODE ISLAND
VIRGINIA
NORTH CAROLINA
NEW YORK
LOUISIANA
NEW HAMPSHIRE
GEORGIA
DISTRICT OF COLUMBIA
WISCONSIN
COLORADO
OHIO
OKLAHOMA
MINNESOTA
NEVADA
MARYLAND
MICHIGAN
TEXAS
KENTUCKY
WASHINGTON
VERMONT
ARIZONA
ILLINOIS
OREGON
NEW MEXICO
INDIANA
MASSACHUSETTS
DELAWARE
MISSISSIPPI
ALABAMA
UTAH
CALIFORNIA
HAWAII
PENNSYLVANIA
FLORIDA
CONNECTICUT
KANSAS
NEW JERSEY
SOUTH DAKOTA
ALASKA
MAINE
TENNESSEE
MISSOURI
IDAHO
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
BrokersXpress LLC 127081
Street Address 1 Street Address 2
311 W. Monroe St. Ste 100
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60606
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investment Architects, Inc. 17774
Street Address 1 Street Address 2
34 Petaluma Blvd. North
City State/Province/Country ZIP/Postal Code
Petaluma CALIFORNIA 94952-3079
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
NEVADA
CALIFORNIA
TEXAS
WASHINGTON
ARIZONA
MONTANA
MISSOURI
COLORADO
OREGON
CONNECTICUT
IDAHO
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Steven L. Falk & Associates Inc. 14297
Street Address 1 Street Address 2
11280 Granite Ridge Dr. Ste 1042
City State/Province/Country ZIP/Postal Code
Las Vegas NEVADA 89135
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
RHODE ISLAND
VIRGINIA
NEW YORK
CALIFORNIA
HAWAII
NEW HAMPSHIRE
PENNSYLVANIA
DISTRICT OF COLUMBIA
WISCONSIN
FLORIDA
CONNECTICUT
NEVADA
MARYLAND
NEW JERSEY
ILLINOIS
OREGON
MASSACHUSETTS
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capital Analysts Incorporated 5478
Street Address 1 Street Address 2
303 Broadway Ste 1500
City State/Province/Country ZIP/Postal Code
Cincinnati OHIO 45202
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capital Guardian LLC 137919
Street Address 1 Street Address 2
420 Park St, Ste 100
City State/Province/Country ZIP/Postal Code
Belmont NORTH CAROLINA 28012
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Corinthian Partners LLC 38912
Street Address 1 Street Address 2
10 East 53rd St, 28th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10022
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
RHODE ISLAND
VIRGINIA
NEW YORK
NORTH CAROLINA
GEORGIA
DISTRICT OF COLUMBIA
WISCONSIN
COLORADO
OHIO
OKLAHOMA
MINNESOTA
NEBRASKA
NEVADA
MICHIGAN
MARYLAND
TEXAS
WASHINGTON
ILLINOIS
MASSACHUSETTS
DELAWARE
ALABAMA
CALIFORNIA
PENNSYLVANIA
FLORIDA
ARKANSAS
CONNECTICUT
NEW JERSEY
MISSOURI
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Hightower Securities LLC 116681
Street Address 1 Street Address 2
525 W. Monroe St, Ste 2300
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60661
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J. P. Turner & Company, LLC 43177
Street Address 1 Street Address 2
One Buckhead Plaza 3060 Peachtree Rd NW, 11th Flr
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30305
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kovack Securities Inc. 44848
Street Address 1 Street Address 2
6451 N. Federal Hwy, Ste 1201
City State/Province/Country ZIP/Postal Code
Ft Lauderdale FLORIDA 33308
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mid Atlantic Capital Corporation 10674
Street Address 1 Street Address 2
1251 Waterfront Place, Ste 510
City State/Province/Country ZIP/Postal Code
Pittsburgh PENNSYLVANIA 15222-6368
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newport Coast Securities, Inc 16944
Street Address 1 Street Address 2
18872 MacArthur Blvd, Ste 100
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92612
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
LOUISIANA
GEORGIA
DISTRICT OF COLUMBIA
OHIO
MINNESOTA
KENTUCKY
WASHINGTON
ILLINOIS
OREGON
NEW MEXICO
MASSACHUSETTS
MISSISSIPPI
DELAWARE
WEST VIRGINIA
HAWAII
FLORIDA
KANSAS
SOUTH DAKOTA
ALASKA
TENNESSEE
IDAHO
RHODE ISLAND
NEW YORK
NORTH CAROLINA
NEW HAMPSHIRE
MONTANA
COLORADO
WISCONSIN
OKLAHOMA
NEBRASKA
NEVADA
MICHIGAN
MARYLAND
TEXAS
VERMONT
ARIZONA
INDIANA
ALABAMA
CALIFORNIA
UTAH
WYOMING
NORTH DAKOTA
PENNSYLVANIA
ARKANSAS
CONNECTICUT
NEW JERSEY
MISSOURI
IOWA
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Oppenheimer & Co. Inc. 249
Street Address 1 Street Address 2
125 Broad St. 16th Flr
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10004
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Rice Pontes Capital, Inc. 40056
Street Address 1 Street Address 2
2001 Crow Canyon Rd, Ste 150
City State/Province/Country ZIP/Postal Code
San Ramon CALIFORNIA 94583
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
OREGON
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
The Strategic Financial Alliance, Inc 126514
Street Address 1 Street Address 2
2200 Century Pkwy, Ste 500
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30345
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Titan Securities 131392
Street Address 1 Street Address 2
13455 Noel Rd, Ste 310 Two Galleria Tower
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75240
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
NORTH CAROLINA
NEW YORK
WEST VIRGINIA
ALABAMA
CALIFORNIA
GEORGIA
WISCONSIN
COLORADO
OHIO
FLORIDA
OKLAHOMA
MINNESOTA
NEVADA
TEXAS
WASHINGTON
ARIZONA
MAINE
TENNESSEE
ILLINOIS
MISSOURI
NEW MEXICO
INDIANA
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FMN Capital Corporation 38105
Street Address 1 Street Address 2
26041 Acero
City State/Province/Country ZIP/Postal Code
Mission Viejo CALIFORNIA 92691
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
NORTH CAROLINA
NEW YORK
GEORGIA
MONTANA
WISCONSIN
COLORADO
OHIO
OKLAHOMA
MINNESOTA
NEVADA
MARYLAND
MICHIGAN
TEXAS
WASHINGTON
ARIZONA
ILLINOIS
OREGON
NEW MEXICO
INDIANA
MASSACHUSETTS
MISSISSIPPI
UTAH
CALIFORNIA
HAWAII
PENNSYLVANIA
NORTH DAKOTA
FLORIDA
ARKANSAS
CONNECTICUT
KANSAS
NEW JERSEY
SOUTH DAKOTA
ALASKA
IOWA
MISSOURI
IDAHO
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Portfolios Financial Services Inc 18487
Street Address 1 Street Address 2
4250 Veterans Memorial Hwy 4th Floor East
City State/Province/Country ZIP/Postal Code
Holbrook NEW YORK 11741
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Foothill Securities Inc 1027
Street Address 1 Street Address 2
150 E. Dana Street
City State/Province/Country ZIP/Postal Code
Mountain View CALIFORNIA 94041
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NFP Securities, INc. 42046
Street Address 1 Street Address 2
1250 Capital of Texas Hwy S, #2-125
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc 23131
Street Address 1 Street Address 2
One World Financial Center 15th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10281
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
2800 N. Central Ave., Ste 2100
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85004-1072
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VFG Securities, Inc 15121
Street Address 1 Street Address 2
632 Arizona Ave
City State/Province/Country ZIP/Postal Code
Santa Monica CALIFORNIA 90401
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
ALABAMA
UTAH
CALIFORNIA
LOUISIANA
NORTH DAKOTA
COLORADO
FLORIDA
NEBRASKA
NEVADA
MARYLAND
TEXAS
TENNESSEE
OREGON
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Walnut Creek Capital Advisors, LLC 131856
Street Address 1 Street Address 2
616 Elliott Rd
City State/Province/Country ZIP/Postal Code
McDonough GEORGIA 30252
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
NORTH CAROLINA
NEW YORK
ALABAMA
GEORGIA
FLORIDA
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Whitehall-Parker Securities, Inc. 10608
Street Address 1 Street Address 2
477 Pacific Ave. @nd Flr
City State/Province/Country ZIP/Postal Code
San Francisco CALIFORNIA 94133
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH CAROLINA
NEW YORK
NEVADA
MINNESOTA
UTAH
CALIFORNIA
TEXAS
WASHINGTON
OREGON
MASSACHUSETTS
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Best Direct Securities, LLC 146053
Street Address 1 Street Address 2
One Peregrine Way
City State/Province/Country ZIP/Postal Code
Cedar Falls IOWA 50613
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FBT Investments, Inc. 104463
Street Address 1 Street Address 2
909 Poydras, Ste 2250
City State/Province/Country ZIP/Postal Code
New Orleans LOUISIANA 70112
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
RHODE ISLAND
NEW YORK
NORTH CAROLINA
VIRGINIA
LOUISIANA
GEORGIA
WISCONSIN
COLORADO
OHIO
OKLAHOMA
MARYLAND
MICHIGAN
TEXAS
KENTUCKY
OREGON
MASSACHUSETTS
MISSISSIPPI
ALABAMA
CALIFORNIA
FLORIDA
CONNECTICUT
KANSAS
NEW JERSEY
IOWA
MISSOURI
IDAHO
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Avondale Partners, LLC 46838
Street Address 1 Street Address 2
3102 West End Ave., Ste 1100
City State/Province/Country ZIP/Postal Code
Nashville TENNESSEE 37203
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
RHODE ISLAND
VIRGINIA
NORTH CAROLINA
NEW YORK
LOUISIANA
GEORGIA
DISTRICT OF COLUMBIA
WISCONSIN
COLORADO
OHIO
OKLAHOMA
MINNESOTA
NEVADA
MARYLAND
MICHIGAN
TEXAS
KENTUCKY
WASHINGTON
VERMONT
ARIZONA
PUERTO RICO
ILLINOIS
OREGON
INDIANA
MASSACHUSETTS
DELAWARE
MISSISSIPPI
ALABAMA
UTAH
CALIFORNIA
WYOMING
HAWAII
PENNSYLVANIA
FLORIDA
ARKANSAS
CONNECTICUT
KANSAS
NEW JERSEY
MAINE
TENNESSEE
IOWA
MISSOURI
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial, Inc. 30833
Street Address 1 Street Address 2
2300 E, Katella Ave., Ste 200
City State/Province/Country ZIP/Postal Code
Anaheim CALIFORNIA 92806
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
First Allied Seurities, Inc. 32444
Street Address 1 Street Address 2
655 West Broadway, 12th Floor
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92101
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Futures Investment Company 42402
Street Address 1 Street Address 2
5914 North 300 West
City State/Province/Country ZIP/Postal Code
Fremont INDIANA 46737
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
NORTH CAROLINA
NEW YORK
UTAH
CALIFORNIA
WYOMING
LOUISIANA
GEORGIA
MONTANA
WISCONSIN
COLORADO
OHIO
FLORIDA
NEBRASKA
MICHIGAN
TEXAS
KENTUCKY
SOUTH DAKOTA
ARIZONA
ILLINOIS
IOWA
OREGON
INDIANA
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kalos Capital, Inc. 44337
Street Address 1 Street Address 2
3780 Mansell Rd., Ste 150
City State/Province/Country ZIP/Postal Code
Alpharetta GEORGIA 30022
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
VIRGINIA
LOUISIANA
GEORGIA
DISTRICT OF COLUMBIA
OHIO
MINNESOTA
KENTUCKY
WASHINGTON
ILLINOIS
OREGON
NEW MEXICO
MASSACHUSETTS
MISSISSIPPI
DELAWARE
WEST VIRGINIA
HAWAII
FLORIDA
KANSAS
SOUTH DAKOTA
TENNESSEE
IDAHO
RHODE ISLAND
NEW YORK
NORTH CAROLINA
NEW HAMPSHIRE
MONTANA
COLORADO
WISCONSIN
OKLAHOMA
NEBRASKA
NEVADA
MICHIGAN
MARYLAND
TEXAS
VERMONT
ARIZONA
INDIANA
ALABAMA
CALIFORNIA
UTAH
WYOMING
NORTH DAKOTA
PENNSYLVANIA
ARKANSAS
CONNECTICUT
NEW JERSEY
MAINE
MISSOURI
IOWA
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Primevest Financial Services, Inc. 15340
Street Address 1 Street Address 2
400 Sirst St. S., Ste 300
City State/Province/Country ZIP/Postal Code
St. Cloud MINNESOTA 56302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
more than 5 None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Western International Securities, Inc. 39262
Street Address 1 Street Address 2
70 South Lake Ave., Ste 700
City State/Province/Country ZIP/Postal Code
Pasadena CALIFORNIA 91101
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount USD
or X Indefinite
Total Amount Sold $1,138,530,482 USD
Total Remaining to be Sold USD
or X Indefinite

Clarification of Response (if Necessary):

14. Investors

X
 Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
30
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
12,893

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions $1,870,983 USD
   Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$0 USD
   Estimate

Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Rule 505 exemption, the issuer is not disqualified from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
Altegris Winton Futures Fund, L.P. Robert J. Amedeo Robert J Amedeo VP of GP 2012-05-01

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.