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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0001463265 |
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Name of Issuer | ||||||||||||||||
Altegris Eckhardt Futures Fund, L.P. | ||||||||||||||||
Jurisdiction of Incorporation/Organization | ||||||||||||||||
DELAWARE | ||||||||||||||||
Year of Incorporation/Organization | ||||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
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Altegris Eckhardt 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 |
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Altegris Advisors, LLC | none | |
Street Address 1 | Street Address 2 | |
1200 Prospect Street, Ste 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):
General Partner of IssuerLast Name | First Name | Middle Name |
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Sundt | Jon | C |
Street Address 1 | Street Address 2 | |
1200 Prospect Street, Ste 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):
President, CEO & Manager of Issuer's General PartnerLast Name | First Name | Middle Name |
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Osborne | Matthew | C |
Street Address 1 | Street Address 2 | |
1200 Prospect Street, Ste 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):
EVP & Manager of Issuer's General PartnerLast Name | First Name | Middle Name |
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McGuire | Kenneth | I |
Street Address 1 | Street Address 2 | |
1200 Prospect Street, Ste 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):
COO & Manager of Issuer's General PartnerLast Name | First Name | Middle Name |
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Rivkin | Jack | L. |
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):
EVP, Manager & CIO of Issuer's General Partner4. Industry Group
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5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range | ||
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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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Rule 504 (b)(1)(i) | |||
Rule 504 (b)(1)(ii) | |||
Rule 504 (b)(1)(iii) | |||
Rule 505 | |||
X | Rule 506(b) | ||
Rule 506(c) | |||
Securities Act Section 4(a)(5) |
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7. Type of Filing
New Notice | Date of First Sale | 2009-10-01 | 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 | $10,000 | USD |
12. Sales Compensation
Recipient |
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more than 5 | None | ||||||
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Altegris Investments, Inc | 8258 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1200 Prospect Street, Ste 400 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
La Jolla | CALIFORNIA | 92037 | |||||
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Recipient |
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more than 5 | None | |||||||||||||||||||||||||||||||||
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Cascade Financial Management, Inc | 119030 | |||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||
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950 - 17th Street Suite 950 | ||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||
Denver | COLORADO | 80202 | ||||||||||||||||||||||||||||||||
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Recipient |
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more than 5 | None | ||||||
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Money Concepts Capital Corp | 12963 | ||||||
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 | |||||
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Recipient |
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more than 5 | None | ||||||
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Commonwealth Financial Network | 8032 | ||||||
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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more than 5 | None | ||||||
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Madison Avenue Securities, Inc. | 23224 | ||||||
Street Address 1 | Street Address 2 | ||||||
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15050 Avenue of Science, Ste 150 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Diego | CALIFORNIA | 92128 | |||||
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Recipient |
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more than 5 | None | |||||||||||||||||||||||||||||||||||||||||||||||
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Arete Wealth Management, LLC | 44856 | |||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||||||||
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1699 E. Woodfield Rd., Ste 565 | ||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||||||||
Schaumburg | ILLINOIS | 60173 | ||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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more than 5 | None | ||||||
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Cambridge Investment Research, Inc., | 39543 | ||||||
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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more than 5 | None | ||||||
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Capital Guardian, LLC | 137919 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1355 Greenwood Cliff, Ste 250 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Charlotte | NORTH CAROLINA | 28204 | |||||
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Recipient |
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more than 5 | None | ||||||
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Hightower Securities, LLC | 116681 | ||||||
Street Address 1 | Street Address 2 | ||||||
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200 West Madison St.,Ste 2500 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Chicago | ILLINOIS | 60606-3411 | |||||
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Recipient |
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more than 5 | None | ||||||
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Purshe Kaplan Sterling Investments | 35747 | ||||||
Street Address 1 | Street Address 2 | ||||||
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18 Corporate Woods Blvd. | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Albany | NEW YORK | 12211 | |||||
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Recipient |
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more than 5 | None | ||||||||||||||||||||||||||||||||||||||||
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Avondale Partners, LLC | 46838 | ||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||
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3102 West End Ave Suite 1100 | |||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||
Nashville | TENNESSEE | 37203 | |||||||||||||||||||||||||||||||||||||||
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Recipient |
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more than 5 | None | |||||||||||||||||||||||||||
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Accelerated Capital Group | 41270 | |||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||
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18301 Von Karman Ste 400 | ||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||
Irvine | CALIFORNIA | 92612 | ||||||||||||||||||||||||||
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Recipient |
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more than 5 | None | ||||||
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Comprehensive Asset Management and Servicing, Inc. | 43814 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2001 ROUTE 46, SUITE 506 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
PARSIPPANY | NEW JERSEY | 07054 | |||||
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Recipient |
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more than 5 | None | ||||||
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Stifel, Nicolaus & Company, Incorporated | 793 | ||||||
Street Address 1 | Street Address 2 | ||||||
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501 North Broadway | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St. Louis | MISSOURI | 63102 | |||||
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Recipient |
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more than 5 | None | |||||||||||
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March Capital Corp. | 24142 | |||||||||||
Street Address 1 | Street Address 2 | |||||||||||
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2 N Lasalle St STE 2300 | ||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||
Chicago | ILLINOIS | 60602-3975 | ||||||||||
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Recipient |
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more than 5 | None | ||||||
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Kovack Securities, Inc. | 44848 | ||||||
Street Address 1 | Street Address 2 | ||||||
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6451 N. Federal Highway | Suite 1201 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Fort Lauderdale | FLORIDA | 33308 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $47,670,360 | USD | ||||
Total Remaining to be Sold | USD |
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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: |
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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 | $15,225 | 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 |
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Altegris Eckhardt Futures Fund, L.P. | /s/Kenneth I. McGuire | Kenneth I. McGuire | COO of GP | 2015-02-02 |
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.