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. |
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
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OMB APPROVAL |
OMB Number: |
3235-0076 |
Estimated average burden |
hours per response: |
4.00 |
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1. Issuer's Identity
CIK (Filer ID Number) |
Previous Names |
|
Entity Type |
0001198415 |
ALTEGRIS WINTON FUTURES FUND LP |
WINTON FUTURES FUND LP (US) |
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Corporation |
X |
Limited Partnership |
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Limited Liability Company |
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General Partnership |
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Business Trust |
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Other (Specify) |
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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) |
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|
Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
Altegris Winton Futures Fund, L.P. |
Street Address 1 |
Street Address 2 |
1200 PROSPECT STREET |
SUITE 400 |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
LA JOLLA |
CALIFORNIA |
92037 |
858-459-7040 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Altegris Advisors, LLC |
n/a |
Street Address 1 |
Street Address 2 |
1200 Prospect Street |
Suite 400 |
City |
State/Province/Country |
ZIP/PostalCode |
La Jolla |
CALIFORNIA |
92037 |
Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Issuer's General Partner
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: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
CEO. CIO & Manager of Issuer's General Partner
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
X |
Pooled Investment Fund |
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Hedge Fund |
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Private Equity Fund |
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Venture Capital Fund |
X |
Other Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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Health Care |
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Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
Revenue Range |
OR |
Aggregate Net Asset Value Range |
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No Revenues |
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No Aggregate Net Asset Value |
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$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
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Over $100,000,000 |
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Over $100,000,000 |
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Decline to Disclose |
X |
Decline to Disclose |
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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 504 (b)(1)(i) |
| |
Rule 504 (b)(1)(ii) |
| |
Rule 504 (b)(1)(iii) |
| X |
Rule 506(b) |
| |
Rule 506(c) |
| |
Securities Act Section 4(a)(5) |
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Investment Company Act Section 3(c) |
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Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
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New Notice |
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Date of First Sale |
1999-11-03 |
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First Sale Yet to Occur |
X |
Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
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Equity |
X |
Pooled Investment Fund Interests |
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Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
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Other (describe) |
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10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor |
$3,000
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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 |
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American Independent Securities Group, LLC |
135288 |
Street Address 1 |
Street Address 2 |
664 S RIVERSHORE LANE |
City |
State/Province/Country |
ZIP/Postal Code |
EAGLE |
IDAHO |
83616 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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ALABAMA |
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
FLORIDA |
GEORGIA |
HAWAII |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
LOUISIANA |
MAINE |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSISSIPPI |
MONTANA |
NEBRASKA |
NEVADA |
NEW HAMPSHIRE |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
NORTH DAKOTA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
RHODE ISLAND |
SOUTH CAROLINA |
SOUTH DAKOTA |
TENNESSEE |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WISCONSIN |
WYOMING |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Ameriprise Financial Services, Inc. |
6363 |
Street Address 1 |
Street Address 2 |
707 2ND AVENUE SOUTH |
City |
State/Province/Country |
ZIP/Postal Code |
MINNEAPOLIS |
MINNESOTA |
55402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Arete Wealth Management LLC |
44856 |
Street Address 1 |
Street Address 2 |
1115 W FULTON MARKET |
1115 W FULTON MARKET |
City |
State/Province/Country |
ZIP/Postal Code |
CHICAGO |
ILLINOIS |
60607 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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Recipient |
Recipient CRD Number |
X |
None |
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more than 5 |
None |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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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 |
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|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Cetera Advisor Networks LLC (FNIC) |
13572 |
Street Address 1 |
Street Address 2 |
2301 ROSECRANS AVE #5100 |
City |
State/Province/Country |
ZIP/Postal Code |
EL SEGUNDO |
CALIFORNIA |
90245 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Cetera Advisors LLC (Multi-Fincl) |
10299 |
Street Address 1 |
Street Address 2 |
5299 DTC BLVD #800 |
City |
State/Province/Country |
ZIP/Postal Code |
5299 DTC BLVD #800 |
COLORADO |
80111 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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|
Recipient |
Recipient CRD Number |
X |
None |
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more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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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 |
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Recipient |
Recipient CRD Number |
X |
None |
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more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
19500 VICTOR PARKWAY |
SUITE 550 |
City |
State/Province/Country |
ZIP/Postal Code |
LIVONIA |
MICHIGAN |
48152 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ALABAMA |
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
HAWAII |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
KENTUCKY |
LOUISIANA |
MAINE |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSISSIPPI |
MISSOURI |
MONTANA |
NEBRASKA |
NEVADA |
NEW HAMPSHIRE |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
NORTH DAKOTA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
RHODE ISLAND |
SOUTH CAROLINA |
SOUTH DAKOTA |
TENNESSEE |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
WYOMING |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Dfpg Investments Inc |
155576 |
Street Address 1 |
Street Address 2 |
9017 S RIVERSIDE DRIVE |
SUITE 210 |
City |
State/Province/Country |
ZIP/Postal Code |
SANDY |
UTAH |
84070 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
ALABAMA |
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
HAWAII |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
KENTUCKY |
LOUISIANA |
MAINE |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSISSIPPI |
MISSOURI |
MONTANA |
NEBRASKA |
NEVADA |
NEW HAMPSHIRE |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
NORTH DAKOTA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
RHODE ISLAND |
SOUTH CAROLINA |
SOUTH DAKOTA |
TENNESSEE |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
WYOMING |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
First Allied Securities, 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 |
|
All States |
|
|
ALASKA |
ARIZONA |
CALIFORNIA |
ILLINOIS |
INDIANA |
MISSISSIPPI |
MONTANA |
NEW HAMPSHIRE |
VIRGINIA |
WASHINGTON |
|
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 |
|
|
|
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 |
12671 HIGH BLUFF DRIVE, STE. 200 |
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 |
|
|
|
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 |
11525 PARK WOODS CIRCLE |
SUITE 280 |
City |
State/Province/Country |
ZIP/Postal Code |
ALPHARETTA |
GEORGIA |
30005 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
ARIZONA |
ILLINOIS |
INDIANA |
MISSOURI |
MONTANA |
NEW HAMPSHIRE |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Kestra Investment Services, LLC |
42046 |
Street Address 1 |
Street Address 2 |
5707 SOUTHWEST PARKWAY |
City |
State/Province/Country |
ZIP/Postal Code |
AUSTIN |
TEXAS |
78735 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
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 |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lincoln Investment |
519 |
Street Address 1 |
Street Address 2 |
601 OFFICE CENTER DR., STE. 300 |
City |
State/Province/Country |
ZIP/Postal Code |
FORT WASHINGTON |
PENNSYLVANIA |
19034 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
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 |
1055 LPL WAY |
City |
State/Province/Country |
ZIP/Postal Code |
FORT MILL |
SOUTH CAROLINA |
29715 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
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 |
13500 EVENING CREEK DR N |
#555 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN DIEGO |
CALIFORNIA |
92128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
MML Investors Services, LLC |
10409 |
Street Address 1 |
Street Address 2 |
1295 STATE STREET |
City |
State/Province/Country |
ZIP/Postal Code |
SPRINGFIELD |
MASSACHUSETTS |
01111 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
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 Corp |
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) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Mutual Securities, Inc. |
13092 |
Street Address 1 |
Street Address 2 |
807-A CAMARILLO SPRINGS ROAD |
City |
State/Province/Country |
ZIP/Postal Code |
CAMARILLO |
CALIFORNIA |
93012 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Next Financial Group, Inc. |
46214 |
Street Address 1 |
Street Address 2 |
2500 WILCREST DRIVE |
2500 WILCREST DRIVE |
City |
State/Province/Country |
ZIP/Postal Code |
HOUSTON |
TEXAS |
77042 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
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 |
85 BROAD ST., 22ND/24TH FLOORS |
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 |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Prospera Financial Services |
10740 |
Street Address 1 |
Street Address 2 |
5429 LBJ FREEWAY |
SUITE 750 |
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 |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
SCF Securities, Inc. |
47275 |
Street Address 1 |
Street Address 2 |
47,275 |
SUITE #102 |
City |
State/Province/Country |
ZIP/Postal Code |
FRESNO |
CALIFORNIA |
93710 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
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 |
7901 JONES BRANCH DR. |
SUITE 810 |
City |
State/Province/Country |
ZIP/Postal Code |
MCLEAN |
VIRGINIA |
22102 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
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) Check “All States” or check individual States |
X |
All States |
|
|
|
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 |
|
|
|
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 |
2700 POST OAK BLVD., STE. 1700 |
SUITE 600 |
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 |
X |
All States |
|
|
|
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 |
5155 PEACHTREE PKWY, STE 3220 |
City |
State/Province/Country |
ZIP/Postal Code |
NORCROSS |
GEORGIA |
30092 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Voya Financial Advisors, Inc. |
2882 |
Street Address 1 |
Street Address 2 |
ONE ORANGE WAY |
City |
State/Province/Country |
ZIP/Postal Code |
WINDSOR |
CONNECTICUT |
06095 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wells Fargo Advisors Financial Network, LLC |
11025 |
Street Address 1 |
Street Address 2 |
ONE NORTH JEFFERSON AVENUE |
ONE NORTH JEFFERSON AVENUE |
City |
State/Province/Country |
ZIP/Postal Code |
ONE NORTH JEFFERSON AVENUE |
MISSOURI |
63103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
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 S. 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 |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wunderlich Securities, Inc. |
2543 |
Street Address 1 |
Street Address 2 |
40 SOUTH MAIN |
SUITE 1800 |
City |
State/Province/Country |
ZIP/Postal Code |
MEMPHIS |
TENNESSEE |
38103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
13. Offering and Sales Amounts
Total Offering Amount |
|
USD |
|
Total Amount Sold |
$1,341,661,491
|
USD |
Total Remaining to be Sold |
|
USD |
|
Clarification of Response (if Necessary):
14. Investors
|
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. |
|
|
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: |
|
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 |
$2,402,815
|
USD |
|
Finders' Fees |
$0
|
USD |
|
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.
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 Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
|
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. |
/s/ Matthew Osborne |
Matthew Osborne |
CEO & CIO of Issuer's GP |
2022-11-09 |
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.