SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Altegris QIM Futures Fund, L.P. – ‘D/A’ on 11/9/21

On:  Tuesday, 11/9/21, at 5:24pm ET   ·   Effective:  11/9/21   ·   Accession #:  1469317-21-2   ·   File #:  21-134557

Previous ‘D’:  ‘D/A’ on 11/10/20   ·   Latest ‘D’:  This Filing

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

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

11/09/21  Altegris QIM Futures Fund, L.P.   D/A        11/09/21    1:24K

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      3K 
                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
 
 
EDGAR System rendering:  Amendment to Notice of an Exempt Offering of Securities
 

FORM D
Notice of Exempt Offering of Securities

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

OMB APPROVAL
OMB Number: 3235-0076
Estimated Average burden hours per response: 4.0
1. Issuer's Identity
CIK (Filer ID Number)Previous Name(s) Checkbox not checked NoneEntity Type
0001469317
APM - QIM Futures Fund, L.P.
Radio button not checked Corporation
Radio button checked Limited Partnership
Radio button not checked  Limited Liability Company
Radio button not checked  General Partnership
Radio button not checked  Business Trust
Radio button not checked Other 
Name of Issuer
 Altegris QIM Futures Fund, L.P.
Jurisdiction of Incorporation/Organization
DELAWARE 
Year of Incorporation/Organization
Radio button checked Over Five Years Ago
Radio button not checked Within Last Five Years (Specify Year)
 
Radio button not checked Yet to Be Formed
 
  
  
 
2. Principal Place of Business and Contact Information
Name of Issuer
 Altegris QIM Futures Fund, L.P.
Street Address 1Street Address 2
 1200 PROSPECT STREET SUITE 400
 
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 LA JOLLA
 CALIFORNIA
 
 92037
 858-731-8547 



3. Related Persons

Last NameFirst NameMiddle Name
Altegris Advisors, LLC
none
Street Address 1Street Address 2
 1200 Prospect Street Suite 400 
 
CityState/Province/CountryZIP/Postal Code
 La Jolla
 CALIFORNIA
 92037
 
Relationship: Checkbox not checked Executive Officer Checkbox not checked Director Checkbox checked Promoter
Clarification of Response (if Necessary)
General Partner of Issuer


Last NameFirst NameMiddle Name
Osborne
Matthew
C
Street Address 1Street Address 2
 1200 Prospect Street Suite 400 
 
CityState/Province/CountryZIP/Postal Code
 La Jolla
 CALIFORNIA
 92037
 
Relationship: Checkbox checked Executive Officer Checkbox not checked Director Checkbox not checked Promoter
Clarification of Response (if Necessary)
CEO, CIO & Manager of Issuer's General Partner




4. Industry Group
  Radio button not checked Agriculture
Banking & Financial Services
  Radio button not checked  Commercial Banking
  Radio button not checked  Insurance
  Radio button not checked Investing
  Radio button not checked  Investment Banking
  Radio button checked  Pooled Investment Fund

*Is the issuer registered as an investment company under the Investment Company Act of 1940?
Radio button not checked Yes  Radio button checked No
  Radio button not checked Other Banking & Financial Services
Radio button not checked  Business Services
Energy
  Radio button not checked  Coal Mining
  Radio button not checked  Electric Utilities
  Radio button not checked  Energy Conservation
  Radio button not checked  Environmental Services
  Radio button not checked  Oil & Gas
  Radio button not checked  Other Energy
Health Care
  Radio button not checked  Biotechnology
  Radio button not checked  Health Insurance
  Radio button not checked  Hospitals & Physicians
  Radio button not checked  Pharmaceuticals
  Radio button not checked  Other Health Care
   
   
   
  
Radio button not checked  Manufacturing
Real Estate
  Radio button not checked Commercial
  Radio button not checked Construction
  Radio button not checked REITS & Finance
  Radio button not checked Residential
Radio button not checked Other Real Estate
Radio button not checked  Retailing
Radio button not checked Restaurants
Technology
Radio button not checked  Computers
Radio button not checked  Telecommunications
Radio button not checked  Other Technology
Travel
Radio button not checked  Airlines & Airports
Radio button not checked  Lodging & Conventions
Radio button not checked  Tourism & Travel Services
Radio button not checked  Other Travel
Radio button not checked Other

  
   
5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
Radio button not checked No Revenues Radio button not checked  No Aggregate Net Asset Value
Radio button not checked  $1 - $1,000,000 Radio button not checked $1 - $5,000,000
Radio button not checked  $1,000,001 - $5,000,000 Radio button not checked  $5,000,001 - $25,000,000
Radio button not checked $5,000,001 - $25,000,000 Radio button not checked  $25,000,001 - $50,000,000
Radio button not checked $25,000,001 - $100,000,000 Radio button not checked  $50,000,001 - $100,000,000
Radio button not checked  Over $100,000,000 Radio button not checked  Over $100,000,000
Radio button not checked  Decline to Disclose  Radio button checked Decline to Disclose
Radio button not checked  Not Applicable Radio button not checked  Not Applicable

 
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
Checkbox not checked Rule 504(b)(1) (not (i), (ii)
or (iii))		 Checkbox checked Rule 506(b)      
Checkbox not checked Rule 504 (b)(1)(i) Checkbox not checked Rule 506(c)
Checkbox not checked Rule 504 (b)(1)(ii) Checkbox not checked Securities Act Section 4(a)(5)
Checkbox not checked Rule 504 (b)(1)(iii) Checkbox not checked Investment Company Act Section 3(c)
 
 

7. Type of Filing
Checkbox not checked  New Notice Date of First Sale 
2009-10-01
 Checkbox not checked  First Sale Yet to Occur
Checkbox checked  Amendment


 
 
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? Radio button checked  Yes Radio button not checked  No
 
 
9. Type(s) of Securities Offered (select all that apply)
Checkbox checked Pooled Investment Fund Interests Checkbox not checked Equity
Checkbox not checked Tenant-in-Common Securities Checkbox not checked Debt
Checkbox not checked Mineral Property Securities Checkbox not checked Option, Warrant or Other Right to Acquire Another Security
Checkbox not checked Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security Checkbox not checked 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? Radio button not checked  Yes Radio button checked  No
Clarification of Response (if Necessary)
 
 
 
11. Minimum Investment
Minimum investment accepted from any outside investor$
 5000
USD

12. Sales Compensation
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Altegris Investments, LLC
 8258
Street Address 1      Street Address 2
1200 PROSPECT STREET SUITE 400
 
City State/Province/CountryZIP/Postal Code
 LA JOLLA
 CALIFORNIA
 92037
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 APW Capital, Inc.
 43814
Street Address 1      Street Address 2
100 ENTERPRISE DRIVE, STE. 504
 
City State/Province/CountryZIP/Postal Code
 ROCKAWAY
 NEW JERSEY
 07866
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Arete Wealth Management, LLC
 44856
Street Address 1      Street Address 2
1101 W. LAKE STREET, 1ST FL.
 
City State/Province/CountryZIP/Postal Code
 CHICAGO
 ILLINOIS
 60607
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Arkadios Capital
 282710
Street Address 1      Street Address 2
3333 PIEDMONT RD. NE, STE. 2010
 
City State/Province/CountryZIP/Postal Code
 ATLANTA
 GEORGIA
 30305
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Berthel, Fisher & Company Financial Services, Inc.
 13609
Street Address 1      Street Address 2
701 TAMA STREET, BLDG B
 
City State/Province/CountryZIP/Postal Code
 MARION
 IOWA
 52302-0609
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Cambridge Investment Research, Inc.
 39543
Street Address 1      Street Address 2
1776 PLEASANT PLAIN RD.
 
City State/Province/CountryZIP/Postal Code
 FAIRFIELD
 IOWA
 52556-8757
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Cascade Financial Management, Inc.
 119030
Street Address 1      Street Address 2
950 - 17TH STREET SUITE 950
 
City State/Province/CountryZIP/Postal Code
 DENVER
 COLORADO
 80202
State(s) of Solicitation Checkbox not checked All States Checkbox not checked Foreign/Non-US
 
ALABAMA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
GEORGIA
HAWAII
IOWA
KANSAS
KENTUCKY
LOUISIANA
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW MEXICO
NEW YORK
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
SOUTH CAROLINA
TEXAS
UTAH
VIRGINIA
WASHINGTON
WISCONSIN
WYOMING
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Commonwealth Financial Network
 8032
Street Address 1      Street Address 2
29 SAWYER ROAD
 
City State/Province/CountryZIP/Postal Code
 WALTHAM
 MASSACHUSETTS
 02453-3483
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Crown Capital Securities, L.P.
 6312
Street Address 1      Street Address 2
725 TOWN & COUNTRY RD STE 530
 
City State/Province/CountryZIP/Postal Code
 ORANGE
 CALIFORNIA
 92868
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 EMPIRE ASSET MANAGEMENT COMPANY
 143007
Street Address 1      Street Address 2
29 BROADWAY
12TH FLOOR
City State/Province/CountryZIP/Postal Code
 NEW YORK
 NEW YORK
 10006
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Investment Architects, Inc.
 17774
Street Address 1      Street Address 2
34 PETALUMA BLVD. NORTH
 
City State/Province/CountryZIP/Postal Code
 PETALUMA
 CALIFORNIA
 94952-3079
State(s) of Solicitation Checkbox not checked All States Checkbox not checked Foreign/Non-US
 
ALABAMA
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
GEORGIA
IDAHO
MINNESOTA
MISSOURI
NEVADA
OREGON
TEXAS
VIRGINIA
WASHINGTON
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 KOVACK SECURITIES INC.
 44848
Street Address 1      Street Address 2
16451 N. FEDERAL HWY.
SUITE 1201
City State/Province/CountryZIP/Postal Code
 FT. LAUDERDALE
 FLORIDA
 33308
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Lara, May & Associates, LLC
 145589
Street Address 1      Street Address 2
7600 LEESBURG PIKE, STE 120 EAST
 
City State/Province/CountryZIP/Postal Code
 FALLS CHURCH
 VIRGINIA
 22043
State(s) of Solicitation Checkbox not checked All States Checkbox not checked Foreign/Non-US
 
ALASKA
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
KANSAS
KENTUCKY
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
SOUTH CAROLINA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Lincoln Investment
 519
Street Address 1      Street Address 2
601 OFFICE CENTER DRIVE, STE. 300
 
City State/Province/CountryZIP/Postal Code
 FT. WASHINGTON
 PENNSYLVANIA
 19034
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 LPL Financial Corporation
 6413
Street Address 1      Street Address 2
75 STATE ST. 24TH FLR
 
City State/Province/CountryZIP/Postal Code
 BOSTON
 MASSACHUSETTS
 02109
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 March Capital Corp.
 24142
Street Address 1      Street Address 2
2 N LASALLE ST STE 2300
 
City State/Province/CountryZIP/Postal Code
 CHICAGO
 ILLINOIS
 60602-3975
State(s) of Solicitation Checkbox not checked All States Checkbox not checked Foreign/Non-US
 
CALIFORNIA
FLORIDA
ILLINOIS
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
NEW YORK
NORTH CAROLINA
TEXAS
WASHINGTON
WISCONSIN
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Mid Atlantic Capital Corporation
 10674
Street Address 1      Street Address 2
1251 WATERFRONT PLACE, STE 510
 
City State/Province/CountryZIP/Postal Code
 PITTSBURGH
 PENNSYLVANIA
 15222-6368
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Money Concepts Capital Corp
 12963
Street Address 1      Street Address 2
11440 NORTH JOG ROAD
 
City State/Province/CountryZIP/Postal Code
 PALM BEACH GARDENS
 FLORIDA
 33418
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Strategic Financial Alliance, Inc.
 126514
Street Address 1      Street Address 2
2200 CENTURY PKWY, STE 500
 
City State/Province/CountryZIP/Postal Code
 ATLANTA
 GEORGIA
 30345
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Sunbelt Securities, Inc.
 42180
Street Address 1      Street Address 2
2700 POST OAK BLVD., STE. 1700
 
City State/Province/CountryZIP/Postal Code
 HOUSTON
 TEXAS
 77056
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 
Recipient Recipient CRD Number Checkbox checked None
 more than 5
  
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number Checkbox not checked None
 Triad Advisors, Inc.
 25803
Street Address 1      Street Address 2
5785 PEACHTREE PARKWAY, STE 280
 
City State/Province/CountryZIP/Postal Code
 NORCROSS
 GEORGIA
 30092
State(s) of Solicitation Checkbox checked All States Checkbox not checked Foreign/Non-US
 



13. Offering and Sales Amounts
 
Total Offering Amount $
 
USD Checkbox checked Indefinite
Total Amount Sold $
234919350
USD
Total Remaining to be Sold $
 
USD Checkbox checked Indefinite
Clarification of Response (if Necessary)
  
 
14. Investors

Checkbox checked Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
0 
  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:
2959
 
15. Sales Commissions & Finders’ 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$
416906
USD Checkbox not checked Estimate
Finders' Fees$
0
USD Checkbox not checked 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.
 $ 
0
USD Checkbox not checked 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, 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 it 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
Altegris QIM Futures Fund, L.P./s/ Matthew OsborneMatthew OsborneCEO & CIO of Issuer's GP2021-11-09





↑Top
Filing Submission 0001469317-21-000002   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Tue., Apr. 30, 1:16:50.2pm ET