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Campbell Fund Trust – ‘D/A’ on 6/1/23

On:  Thursday, 6/1/23, at 11:18am ET   ·   Effective:  6/1/23   ·   Accession #:  1043951-23-1   ·   File #:  21-129447

Previous ‘D’:  ‘D/A’ on 5/19/22   ·   Latest ‘D’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size

 6/01/23  Campbell Fund Trust               D/A         6/01/23    1:70K

Amendment to Notice of an Exempt Offering of Securities   —   Form D   —   Regulation D   —   SA’33

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: D/A         Amendment to Notice of an Exempt Offering of        HTML     69K 
                Securities -- primary_doc.xml/7.8                                




        

This ‘D/A’ Document is an XML Data File that may be rendered in various formats:

  Form D    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Amendment to Notice of an Exempt Offering of Securities
 

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

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

Notice of Exempt Offering of Securities

OMB APPROVAL
OMB Number:3235-0076
Estimated average burden
hours per response:4.00

1. Issuer's Identity

CIK (Filer ID Number)Previous Names
XNone
Entity Type
1043951
  Corporation
  Limited Partnership
  Limited Liability Company
  General Partnership
XBusiness Trust
  Other (Specify)

Name of Issuer
CAMPBELL FUND TRUST
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
XOver Five Years Ago
  Within Last Five Years (Specify Year)
  Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
CAMPBELL FUND TRUST
Street Address 1Street Address 2
2850 QUARRY LAKE DRIVE
CityState/Province/CountryZIP/PostalCodePhone Number of Issuer
BALTIMOREMARYLAND21209410-413-2600

3. Related Persons

Last NameFirst NameMiddle Name
LloydThomasP.
Street Address 1Street Address 2
Campbell & Company, LP2850 Quarry Lake Drive
CityState/Province/CountryZIP/PostalCode
BaltimoreMARYLAND21209
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):


Last NameFirst NameMiddle Name
Campbell & Company, LPn/a
Street Address 1Street Address 2
2850 Quarry Lake Drive
CityState/Province/CountryZIP/PostalCode
BaltimoreMARYLAND21209
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):

Managing Operator of the Trust.
Last NameFirst NameMiddle Name
ColeKevinD
Street Address 1Street Address 2
Campbelll & Company LP2850 Quarry Lake Drive
CityState/Province/CountryZIP/PostalCode
BaltimoreMARYLAND21209
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):


Last NameFirst NameMiddle Name
RadleJohnR
Street Address 1Street Address 2
Campbell & Company LP2850 Quarry Lake Drive
CityState/Province/CountryZIP/PostalCode
BaltimoreMARYLAND21209
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):


4. Industry Group

  Agriculture
Banking & Financial Services
  Commercial Banking
  Insurance
  Investing
  Investment Banking
XPooled Investment Fund
  Hedge Fund
  Private Equity Fund
  Venture Capital Fund
XOther Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
  YesXNo
  Other Banking & Financial Services
  Business Services
Energy
  Coal Mining
  Electric Utilities
  Energy Conservation
  Environmental Services
  Oil & Gas
  Other Energy
Health Care
  Biotechnology
  Health Insurance
  Hospitals & Physicians
  Pharmaceuticals
  Other Health Care
  Manufacturing
Real Estate
  Commercial
  Construction
  REITS & Finance
  Residential
  Other Real Estate
  
Retailing
  
Restaurants
Technology
  Computers
  Telecommunications
  Other Technology
Travel
  Airlines & Airports
  Lodging & Conventions
  Tourism & Travel Services
  Other Travel
  
Other

5. Issuer Size

Revenue RangeORAggregate 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 DiscloseXDecline to Disclose
  Not Applicable  Not Applicable

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

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

7. Type of Filing

  New Notice Date of First Sale 1/1/96   First Sale Yet to Occur
XAmendment

8. Duration of Offering

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

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

  EquityXPooled 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?
  YesXNo

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor$25,000USD

12. Sales Compensation

Recipient
Recipient CRD Number  None
Cambridge Investment Research, Inc.39543
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1776 Pleasant Plain Road
CityState/Province/CountryZIP/Postal Code
FairfieldIOWA52556
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Campbell Financial Services, Inc.42953
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
2850 Quarry Lake Drive
CityState/Province/CountryZIP/Postal Code
BaltimoreMARYLAND21209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Commonwealth Financial Network8032
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
29 Sawyer Road
CityState/Province/CountryZIP/Postal Code
WalthamMASSACHUSETTS02453
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Credit Suisse Securities (USA) LLC816
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
11 Madison Avenue24th Floor
CityState/Province/CountryZIP/Postal Code
New YorkNEW YORK10010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
David A. Noyes & Company205
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
209 South La Salle Street12th Floor
CityState/Province/CountryZIP/Postal Code
ChicagoILLINOIS60604
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
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  None
Geneos Wealth Management, Inc.120894
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
9055 E Mineral CircleSuite 200
CityState/Province/CountryZIP/Postal Code
CentennialCOLORADO80112
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Janney Montgomery Scott, LLC463
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1717 Arch Street
CityState/Province/CountryZIP/Postal Code
PhiladelphiaPENNSYLVANIA19103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Lincoln Financial Advisors Corporation3978
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1300 South Clinton StreetSuite 150
CityState/Province/CountryZIP/Postal Code
Fort WayneINDIANA46802
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
LPL Financial Corporation6413
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
75 State Street24th Floor
CityState/Province/CountryZIP/Postal Code
BostonMASSACHUSETTS02109
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Merrill Lynch, Pierce, Fenner & Smith, Inc.7691
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
One Bryant Park
CityState/Province/CountryZIP/Postal Code
New YorkNEW YORK10036
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Morgan Stanley Smith Barney LLC149777
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
2000 Westchester Avenue
CityState/Province/CountryZIP/Postal Code
PurchaseNEW YORK10577
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Raymond James & Associates, Inc705
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
880 Carillon Parkway
CityState/Province/CountryZIP/Postal Code
St. PetersburgFLORIDA33716
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
RBC Capital Markets LLC31194
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
3 World Financial Center200 Vesey Street
CityState/Province/CountryZIP/Postal Code
New YorkNEW YORK10281
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Stephens, Inc.3496
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
111 Center Street
CityState/Province/CountryZIP/Postal Code
Little RockARKANSAS72201
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Stifel Nicolaus & Company, Incorporated793
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
501 North Broadway
CityState/Province/CountryZIP/Postal Code
St. LouisMISSOURI63102
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
UBS Financial Services Inc.8174
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1200 Harbor Boulevard
CityState/Province/CountryZIP/Postal Code
WeehawkenNEW JERSEY07086
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Wells Fargo Advisors Financial Network, LLC11025
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
One North Jefferson Avenue
CityState/Province/CountryZIP/Postal Code
St. LouisMISSOURI63103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Wells Fargo Advisors, LLC19616
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
One North Jefferson Avenue
CityState/Province/CountryZIP/Postal Code
St. LouisMISSOURI63103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
American Portfolios Financial Services, Inc.18487
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
4250 Veterans Memorial Highway4th Floor East
CityState/Province/CountryZIP/Postal Code
HolbrookNEW YORK11741
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Ameriprise Financial Services, Inc.6363
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
707 2nd Avenue South
CityState/Province/CountryZIP/Postal Code
MinneapolisMINNESOTA55402
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Benjamin F. Edwards & Co., Inc.146936
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
One North Brentwood BoulevardSuite 850
CityState/Province/CountryZIP/Postal Code
St. LouisMISSOURI63105
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Berthel, Fisher & Company Financial Services, Inc.13609
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
701 Tama StreetBuilding B
CityState/Province/CountryZIP/Postal Code
MarionIOWA52302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
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  None
Davenport& Company LLC1588
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
One James Center901 E. Cary Street
CityState/Province/CountryZIP/Postal Code
RichmondVIRGINIA23219
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
First Allied Securities32444
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
655 West Broadway12th Floor
CityState/Province/CountryZIP/Postal Code
San DiegoCALIFORNIA92101
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
FSC Securities Corporation7461
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
2300 Windy Ridge ParkwaySuite 1100
CityState/Province/CountryZIP/Postal Code
AtlantaGEORGIA30339
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
HighTower Securities, LLC116681
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
200 West Madison StreetSuite 2500
CityState/Province/CountryZIP/Postal Code
ChicagoILLINOIS60606
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Cetera Advisors LLC10299
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
4600 South SyracuseSuite 600
CityState/Province/CountryZIP/Postal Code
DenverCOLORADO80237
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Purshe, Kaplan, Sterling Investments35747
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
18 Corporate Woods Boulevard
CityState/Province/CountryZIP/Postal Code
AlbanyNEW YORK12211
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
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  None
Robert W. Baird & Co., Inc.8158
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
777 E. Wisconsin Ave.
CityState/Province/CountryZIP/Postal Code
MilwaukeeWISCONSIN53202
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Royal Alliance Associates, Inc.23131
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
One World Financial Center15th Floor
CityState/Province/CountryZIP/Postal Code
New YorkNEW YORK10281
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Sagepoint Financial, Inc.133763
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
2800 North Central AvenueSuite 2100
CityState/Province/CountryZIP/Postal Code
PhoenixARIZONA85004
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Securities America, Inc.10205
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
12325 Port Grace Boulevard
CityState/Province/CountryZIP/Postal Code
LaVistaNEBRASKA68128
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Spire Securities, LLC144131
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1840 Michael Faraday Dr.Suite 105
CityState/Province/CountryZIP/Postal Code
RestonVIRGINIA20190
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Stephen A. Kohn & Associates, Ltd.41067
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
3232 South Vance StreetSuite 210
CityState/Province/CountryZIP/Postal Code
LakewoodCOLORADO80227
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
LOUISIANA
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
OREGON
PENNSYLVANIA
SOUTH CAROLINA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WISCONSIN

Recipient
Recipient CRD Number  None
USA FInancial Securities Corporation103857
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
6020 East Fulton
CityState/Province/CountryZIP/Postal Code
AdaMICHIGAN49301
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
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  None
Arete Wealth Management, LLC44856
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1699 E. Woodfield RoadSuite 565
CityState/Province/CountryZIP/Postal Code
SchaumburgILLINOIS60173
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
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
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING

Recipient
Recipient CRD Number  None
Lincoln Investment Planning, Inc.519
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
Forst Pavillion218 Glenside Avenue
CityState/Province/CountryZIP/Postal Code
WyncotsePENNSYLVANIA19095-1595
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Mutual Securities, Inc.13092
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
807-A Camarillo Springs Road
CityState/Province/CountryZIP/Postal Code
CamarilloCALIFORNIA93012
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Titan Securities131392
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
14801 Quorum DriveSuite 260
CityState/Province/CountryZIP/Postal Code
DallasTEXAS75254
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
IDAHO
INDIANA
IOWA
KANSAS
LOUISIANA
MICHIGAN
MINNESOTA
MISSOURI
NEVADA
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING

Recipient
Recipient CRD Number  None
KMS Financial Services, Inc.3866
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
2001 Sixth AvenueSuite 2801
CityState/Province/CountryZIP/Postal Code
SeattleWASHINGTON98121-1866
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
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  None
Oppenheimer & Co., Inc.249
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
85 Broad Street22nd, 24th Floor
CityState/Province/CountryZIP/Postal Code
New YorkNEW YORK10004
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
D.H. HILL SECURITIES, LLLP41528
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1543 GREEN OAK PLACESUITE 100
CityState/Province/CountryZIP/Postal Code
KINGWOODTEXAS77339
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
ALABAMA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WISCONSIN
WYOMING

Recipient
Recipient CRD Number  None
Ausdal Financial Partners, Inc.7995
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
220 North Main StreetSuite 400
CityState/Province/CountryZIP/Postal Code
DavenportIOWA52801
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Kestra Investment Services, LLC42046
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
5707 Southwest ParkwayBldg 2, Ste 400
CityState/Province/CountryZIP/Postal Code
AustinTEXAS78735
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Raymond James Financial Services, Inc.6694
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
880 Carillon Parkway
CityState/Province/CountryZIP/Postal Code
Saint PetersburgFLORIDA33716
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Frontier Solutions LLC136102
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
9 East Franklin Street
CityState/Province/CountryZIP/Postal Code
RichmondVIRGINIA23219
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
ALABAMA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
KANSAS
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MINNESOTA
MISSISSIPPI
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
SOUTH CAROLINA
TEXAS
UTAH
VIRGINIA
WASHINGTON
WEST VIRGINIA
WYOMING

Recipient
Recipient CRD Number  None
Hilltop Securities Inc6220
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1201 Elm StreetSuite 3500
CityState/Province/CountryZIP/Postal Code
DallasTEXAS75270
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
J.P. Morgan Securities LLC79
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
383 Madison Avenue
CityState/Province/CountryZIP/Postal Code
New YorkNEW YORK10179
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
McDonald Partners LLC135414
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1301 East 9th StreetSuite 3700
CityState/Province/CountryZIP/Postal Code
ClevelandOHIO44114
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Prospera Financial Services Inc10740
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
5429 LBJ FreewaySuite 400
CityState/Province/CountryZIP/Postal Code
DallasTEXAS75240
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Snowden Account Services LLC149794
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
540 Madison Avenue9th Floor
CityState/Province/CountryZIP/Postal Code
New YorkNEW YORK10022
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Lincoln Financial Securities Corporation3870
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1300 South Clinton Street
CityState/Province/CountryZIP/Postal Code
Fort WayneINDIANA46802
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Nations Financial Group Inc44181
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
4000 River Ridge Dr NE
CityState/Province/CountryZIP/Postal Code
Cedar RapidsIOWA52402
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Truist Investment Services17499
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
303 Peachtree Center AveSuite 140
CityState/Province/CountryZIP/Postal Code
AtlantaGEORGIA30303
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Cetera Advisor Networks LLC13572
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
200 N Pacific Coast HwySTE 1300
CityState/Province/CountryZIP/Postal Code
El SegundoCALIFORNIA90245
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
LoCorr Distributors LLC41782
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
687 Excelsior Blvd
CityState/Province/CountryZIP/Postal Code
ExcelsiorMINNESOTA55331
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA
FLORIDA
ILLINOIS
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
PENNSYLVANIA
SOUTH DAKOTA
TEXAS
WISCONSIN

Recipient
Recipient CRD Number  None
Grove Point Investments, LLC1763
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
2440 Research BoulevardSuite 500
CityState/Province/CountryZIP/Postal Code
RockvilleMARYLAND20850
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Insigneo Securities, LLC29249
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1221 Brickell Ave27th FL
CityState/Province/CountryZIP/Postal Code
MiamiFLORIDA33131
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD Number  None
Polar Investment Counsel, Inc42847
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
19547 210th AV NE
CityState/Province/CountryZIP/Postal Code
Thief River FallsMINNESOTA56701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
ALABAMA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
NEBRASKA
NEVADA
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
PENNSYLVANIA
TENNESSEE
TEXAS
VIRGINIA
WEST VIRGINIA
WISCONSIN

13. Offering and Sales Amounts

Total Offering Amount USD
orXIndefinite
Total Amount Sold$2,429,526,960USD
Total Remaining to be Sold USD
orXIndefinite

Clarification of Response (if Necessary):

14. Investors

X
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
7
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:
13,247

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$124,261,884USD
XEstimate
Finders' Fees$0USD
  Estimate

Clarification of Response (if Necessary):

16. Use of Proceeds

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

$0USD
  Estimate

Clarification of Response (if Necessary):

Signature and Submission

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

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a 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.

IssuerSignatureName of SignerTitleDate
CAMPBELL FUND TRUSTThomas P. LloydThomas P. LloydChief Compliance Officer of CCLP 6/1/23

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.


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