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 |
| Entity Type | |||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0001469317 |
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Name of Issuer | ||||||||||||||||
Altegris QIM 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 | |||
---|---|---|---|
Altegris QIM 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 | 858-875-8725 |
3. Related Persons
Last Name | First Name | Middle Name |
---|---|---|
Altegris Advisors, LLC | none | |
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):
General Partner of IssuerLast 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):
CIO & Manager of Issuer's General PartnerLast Name | First Name | Middle Name |
---|---|---|
McGuire | Kenneth | I |
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):
President, COO & Manager of Issuer's General PartnerLast Name | First Name | Middle Name |
---|---|---|
Beaulieu | Martin | |
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 and Executive Chairman 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)
| |||
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 | $5,000 | USD |
12. Sales Compensation
Recipient |
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more than 5 | None | ||||||
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Altegris Investments, LLC | 8258 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1200 Prospect Street Suite 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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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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Comprehensive Asset Management and Servicing, Inc. | 43814 | ||||||
Street Address 1 | Street Address 2 | ||||||
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2001 Route 46, Ste 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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Girard Securities, Inc. | 18697 | ||||||
Street Address 1 | Street Address 2 | ||||||
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9560 Waples Street, Ste B | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
San Diego | CALIFORNIA | 92121 | |||||
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Recipient |
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more than 5 | None | |||||||||||||
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Investment Architects, Inc. | 17774 | |||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||
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34 Petaluma Blvd. North | ||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||
Petaluma | CALIFORNIA | 94952-3079 | ||||||||||||
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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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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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Berthel, Fisher & Company Financial Services, Inc. | 13609 | ||||||
Street Address 1 | Street Address 2 | ||||||
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701 Tama Street, Bldg B | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Marion | IOWA | 52302-0609 | |||||
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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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Cascade Financial Management, Inc. | 119030 | ||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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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Financial West Group | 16668 | ||||||
Street Address 1 | Street Address 2 | ||||||
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4510 E. Thousand Oaks Blvd. | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Westlake Village | CALIFORNIA | 91362 | |||||
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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 | ||||||
---|---|---|---|---|---|---|---|
200 West Madison St Ste 2500 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Chicago | ILLINOIS | 60606-3414 | |||||
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Recipient |
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more than 5 | None | |||||||||||||||||||||||||||||||||||||||
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Lara, May & Associates, LLC | 145589 | |||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||
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7600 Leesburg Pike, Ste 120 East | ||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||
Falls Church | VIRGINIA | 22043 | ||||||||||||||||||||||||||||||||||||||
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Recipient |
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more than 5 | None | ||||||
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LPL Financial Corporation | 6413 | ||||||
Street Address 1 | Street Address 2 | ||||||
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75 State St. 24th Flr | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Boston | MASSACHUSETTS | 02109 | |||||
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Recipient |
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more than 5 | None | ||||||
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Mid Atlantic Capital Corporation | 10674 | ||||||
Street Address 1 | Street Address 2 | ||||||
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1251 Waterfront Place, Ste 510 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Pittsburgh | PENNSYLVANIA | 15222-6368 | |||||
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Recipient |
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more than 5 | None | |||||||||||||||||||||||||||||||||||||||||
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Sunbelt Securities, Inc. | 42180 | |||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||||||||||||||||||||||||||
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5065 Westheimer, Ste 600 | ||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||||||||||||||||||||||||||
Houston | TEXAS | 77056 | ||||||||||||||||||||||||||||||||||||||||
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Recipient |
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more than 5 | None | ||||||
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Triad Advisors, Inc. | 25803 | ||||||
Street Address 1 | Street Address 2 | ||||||
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5785 Peachtree Parkway, Ste 280 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Norcross | GEORGIA | 30092 | |||||
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Recipient |
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more than 5 | None | ||||||
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VSR Financial Services, Inc. | 14503 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
8620 W. 110th St., #200 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Overland Park | KANSAS | 66210-9651 | |||||
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Recipient |
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more than 5 | None | ||||||
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Invest Financial Corporation | 12984 | ||||||
Street Address 1 | Street Address 2 | ||||||
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8745 Henderson Road Suite 300 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Tampa | FLORIDA | 33634 | |||||
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Recipient |
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more than 5 | None | ||||||
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SII Investments, Inc. | 2225 | ||||||
Street Address 1 | Street Address 2 | ||||||
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5555 Grande Market Drive | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Appleton | WISCONSIN | 54913 | |||||
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Recipient |
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more than 5 | None | ||||||
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Crown Capital Securities, L.P. | 6312 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
725 Town & Country Rd Ste 530 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Orange | CALIFORNIA | 92868 | |||||
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Recipient |
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more than 5 | None | ||||||
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National Planning Corporation | 29604 | ||||||
Street Address 1 | Street Address 2 | ||||||
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401 Wilshire Blvd Ste 1100 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Santa Monica | CALIFORNIA | 90401 | |||||
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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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5011 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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Lincoln Investment | 519 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
Forst Pavilion | 218 Glenside Avenue | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Wyncote | PENNSYLVANIA | 19095-1592 | |||||
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Recipient |
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more than 5 | None | ||||||
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Broker Dealer Financial Services Corp | 8073 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
140 So. 68th Street | Suite 2200 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
West Des Moines | IOWA | 50266 | |||||
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Recipient |
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more than 5 | None | ||||||
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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 | |||||
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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 | |||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|
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 | ||||||
---|---|---|---|---|---|---|---|
6451 N. Federal Highway | Suite 1201 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Ft Lauderdale | FLORIDA | 33308 | |||||
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Recipient |
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more than 5 | None | ||||||
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Kalos Capital Inc. | 44337 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
11525 Park Woods Circle, Ste. 280 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Alpharetta | GEORGIA | 30005 | |||||
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Recipient |
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more than 5 | None | ||||||
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Sandlapper Securities, LLC | 137906 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
800 E. North St., 2nd Floor | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Greenville | SOUTH CAROLINA | 29601 | |||||
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Recipient |
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more than 5 | None | ||||||
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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 | |||||
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Recipient |
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more than 5 | None | ||||||
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TCM Securities, Inc. | 43559 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2230 Towne Lake Parkway | Bldg. 800, Ste. 130 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Woodstock | GEORGIA | 30189 | |||||
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Recipient |
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more than 5 | None | ||||||
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B.C. Ziegler & Company | 061 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
200 S. Wacker Drive, Ste. 2000 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Chicago | ILLINOIS | 60606 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
| ||||
Total Amount Sold | $229,912,075 | 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. |
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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 | $408,066 | 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 QIM Futures Fund, L.P. | Kenneth I. McGuire | Kenneth I. McGuire | President/COO of the Issuer's GP | 2017-02-03 |
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.