The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D Notice of Exempt Offering of Securities |
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1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
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Entity Type | ||||||||||||||
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0001198415 |
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Name of Issuer | |||||||||||||||||
Altegris Winton Futures Fund, L.P. | |||||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||||
COLORADO | |||||||||||||||||
Year of Incorporation/Organization | |||||||||||||||||
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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 |
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Clarification of Response (if Necessary):
Issuer's General PartnerLast 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 |
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Clarification of Response (if Necessary):
CEO. CIO & Manager of Issuer's General Partner4. Industry Group
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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 | Over $100,000,000 | |||
Decline to Disclose | X | Decline to Disclose | ||
Not Applicable | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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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? |
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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? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $3,000 | USD |
12. Sales Compensation
Recipient |
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American Independent Securities Group, LLC | 135288 | |||||||||||||||||||||||||||||||||||||||||||||
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None | None | |||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||||||
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664 S RIVERSHORE LANE | SUITE 150 | |||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||||||
EAGLE | IDAHO | 83616 | ||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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American Portfolios Financial Services, Inc. | 18487 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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4250 VETERANS MEMORIAL HIGHWAY | 4TH FLOOR EAST | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
HOLBROOK | NEW YORK | 11741 | |||||
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Recipient |
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Ameriprise Financial Services, Inc. | 6363 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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707 2ND AVENUE SOUTH | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
MINNEAPOLIS | MINNESOTA | 55402 | |||||
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Recipient |
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Arete Wealth Management LLC | 44856 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1115 W FULTON MARKET | 3RD FLOOR | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
CHICAGO | ILLINOIS | 60607 | |||||
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Recipient |
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B. RILEY WEALTH MANAGEMENT | 2543 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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40 SOUTH MAIN | SUITE 1800 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
MEMPHIS | TENNESSEE | 38103 | |||||
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Recipient |
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Calton & Associates Inc | 20999 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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2701 N ROCKY POINT DRIVE | SUITE 1000 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
TAMPA | FLORIDA | 33607 | |||||
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Recipient |
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Cambridge Investment Research Inc | 39543 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1776 PLEASANT PLAIN RD | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
FAIRFIELD | IOWA | 52556-8757 | |||||
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Recipient |
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Cetera Advisor Networks LLC (FNIC) | 13572 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2301 ROSECRANS AVE #5100 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
EL SEGUNDO | CALIFORNIA | 90245 | |||||
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Recipient |
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Cetera Advisors LLC (Multi-Fincl) | 10299 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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5299 DTC BLVD #800 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
5299 DTC BLVD #800 | COLORADO | 80111 | |||||
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Recipient |
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Commonwealth Financial Network | 8032 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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29 SAWYER ROAD | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
WALTHAM | MASSACHUSETTS | 02453-3483 | |||||
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Recipient |
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Concorde Investment Services, LLC | 151604 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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19500 VICTOR PARKWAY | SUITE 550 | ||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
LIVONIA | MICHIGAN | 48152 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Dfpg Investments Inc | 155576 | ||||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
9017 S RIVERSIDE DRIVE | SUITE 210 | ||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
SANDY | UTAH | 84070 | |||||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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HIGHTOWER SECURITIES, LLC | 116681 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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200 WEST MADISON STREET | SUITE 2500 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
CHICAGO | ILLINOIS | 60606 | |||||
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Recipient |
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Kestra Investment Services, LLC | 42046 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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5707 SOUTHWEST PARKWAY | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
AUSTIN | TEXAS | 78735 | |||||
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Recipient |
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Kovack Securities Inc. | 44848 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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6451 N. FEDERAL HWY, STE 1201 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
FT LAUDERDALE | FLORIDA | 33308 | |||||
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Recipient |
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Lincoln Investment | 519 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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601 OFFICE CENTER DR., STE. 300 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
FORT WASHINGTON | PENNSYLVANIA | 19034 | |||||
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Recipient |
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LPL Financial | 6413 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1055 LPL WAY | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
FORT MILL | SOUTH CAROLINA | 29715 | |||||
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Recipient |
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Madison Avenue Securities LLC | 23224 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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13500 EVENING CREEK DR N | #555 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
SAN DIEGO | CALIFORNIA | 92128 | |||||
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Recipient |
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MML Investors Services, LLC | 10409 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1295 STATE STREET | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
SPRINGFIELD | MASSACHUSETTS | 01111 | |||||
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Recipient |
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Money Concepts Capital Corp | 12963 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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11440 NORTH JOG ROAD | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
PALM BEACH GARDENS | FLORIDA | 33418-3764 | |||||
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Recipient |
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Mutual Securities, Inc. | 13092 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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807-A CAMARILLO SPRINGS ROAD | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
CAMARILLO | CALIFORNIA | 93012 | |||||
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Recipient |
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Next Financial Group, Inc. | 46214 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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11740 KATY FREEWAY | SUITE 600 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
HOUSTON | TEXAS | 77079 | |||||
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Recipient |
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Oppenheimer & Co. Inc. | 249 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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85 BROAD ST., 22ND/24TH FLOORS | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
NEW YORK | NEW YORK | 10004 | |||||
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Recipient |
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OSAIC WEALTH, INC. | 23131 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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10 EXCHANGE PLACE | SUITE 1410 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
JERSEY CITY | NEW JERSEY | 07302 | |||||
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Recipient |
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SCF Securities, Inc. | 47275 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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10150 MEANLEY DRIVE, FIRST FLOOR | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
SAN DIEGO | CALIFORNIA | 92131 | |||||
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Recipient |
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Securities America, Inc. | 10205 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
12325 PORT GRACE BLVD. | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
LAVISTA | NEBRASKA | 68128 | |||||
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Recipient |
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Spire Securities, LLC | 144131 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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7901 JONES BRANCH DR. | SUITE 810 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
MCLEAN | VIRGINIA | 22102 | |||||
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Recipient |
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Stifel, Nicolaus & Company, Incorporated | 793 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
501 NORTH BROADWAY | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
ST. LOUIS | MISSOURI | 63102 | |||||
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Recipient |
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Sunbelt Securities, Inc. | 42180 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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2700 POST OAK BLVD., STE. 1700 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
HOUSTON | TEXAS | 77056 | |||||
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Recipient |
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The Strategic Financial Alliance, Inc. | 126514 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2200 CENTURY PKWY., STE. 500 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
ATLANTA | GEORGIA | 30345 | |||||
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Recipient |
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Triad Advisors LLC | 25803 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
5155 PEACHTREE PKWY, STE 3220 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
NORCROSS | GEORGIA | 30092 | |||||
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Recipient |
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Voya Financial Advisors, Inc. | 2882 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
ONE ORANGE WAY | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
WINDSOR | CONNECTICUT | 06095 | |||||
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Recipient |
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Wells Fargo Advisors Financial Network, LLC | 11025 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
ONE NORTH JEFFERSON AVENUE | H0004-05B | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
ST. LOUIS | MISSOURI | 63103 | |||||
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Recipient |
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Western International Securities, Inc. | 39262 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
70 S. LAKE AVE. | STE. 700 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
PASADENA | CALIFORNIA | 91101 | |||||
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Recipient |
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Woodbury Financial Services, Inc. | 421 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
7755 3RD STREET NORTH | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
OAKDALE | MINNESOTA | 55128 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $1,341,661,491 | USD | ||||
Total Remaining to be Sold | USD |
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Clarification of Response (if Necessary):
14. Investors
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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. |
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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: |
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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 |
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Finders' Fees | $0 | USD |
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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 |
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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: |
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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 | 2023-11-07 |
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.