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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

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  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
 

 
SEC Website 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
  None
Entity Type
0001469317
APM - QIM Futures Fund, L.P.
  Corporation
XLimited Partnership
  Limited Liability Company
  General Partnership
  Business Trust
  Other (Specify)

Name of Issuer
Altegris QIM Futures Fund, L.P.
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
Altegris QIM Futures Fund, L.P.
Street Address 1Street Address 2
1200 PROSPECT STREET SUITE 400
CityState/Province/CountryZIP/PostalCodePhone Number of Issuer
LA JOLLACALIFORNIA92037858-731-8547

3. Related Persons

Last NameFirst NameMiddle Name
Altegris Advisors, LLCnone
Street Address 1Street Address 2
1200 Prospect Street Suite 400
CityState/Province/CountryZIP/PostalCode
La JollaCALIFORNIA92037
Relationship:  Executive Officer  DirectorXPromoter

Clarification of Response (if Necessary):

General Partner of Issuer
Last NameFirst NameMiddle Name
OsborneMatthewC
Street Address 1Street Address 2
1200 Prospect Street Suite 400
CityState/Province/CountryZIP/PostalCode
La JollaCALIFORNIA92037
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):

CEO, CIO & Manager of Issuer's General Partner

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 Sale2009-10-01   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$5,000USD

12. Sales Compensation

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Altegris Investments, LLC8258
Street Address 1Street Address 2
1200 PROSPECT STREET SUITE 400
CityState/Province/CountryZIP/Postal Code
LA JOLLACALIFORNIA92037
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
APW Capital, Inc.43814
Street Address 1Street Address 2
100 ENTERPRISE DRIVE, STE. 504
CityState/Province/CountryZIP/Postal Code
ROCKAWAYNEW JERSEY07866
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Arete Wealth Management, LLC44856
Street Address 1Street Address 2
1101 W. LAKE STREET, 1ST FL.
CityState/Province/CountryZIP/Postal Code
CHICAGOILLINOIS60607
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Arkadios Capital282710
Street Address 1Street Address 2
3333 PIEDMONT RD. NE, STE. 2010
CityState/Province/CountryZIP/Postal Code
ATLANTAGEORGIA30305
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Berthel, Fisher & Company Financial Services, Inc.13609
Street Address 1Street Address 2
701 TAMA STREET, BLDG B
CityState/Province/CountryZIP/Postal Code
MARIONIOWA52302-0609
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Cambridge Investment Research, Inc.39543
Street Address 1Street Address 2
1776 PLEASANT PLAIN RD.
CityState/Province/CountryZIP/Postal Code
FAIRFIELDIOWA52556-8757
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Cascade Financial Management, Inc.119030
Street Address 1Street Address 2
950 - 17TH STREET SUITE 950
CityState/Province/CountryZIP/Postal Code
DENVERCOLORADO80202
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
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 NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Commonwealth Financial Network8032
Street Address 1Street Address 2
29 SAWYER ROAD
CityState/Province/CountryZIP/Postal Code
WALTHAMMASSACHUSETTS02453-3483
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Crown Capital Securities, L.P.6312
Street Address 1Street Address 2
725 TOWN & COUNTRY RD STE 530
CityState/Province/CountryZIP/Postal Code
ORANGECALIFORNIA92868
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
EMPIRE ASSET MANAGEMENT COMPANY143007
Street Address 1Street Address 2
29 BROADWAY12TH FLOOR
CityState/Province/CountryZIP/Postal Code
NEW YORKNEW YORK10006
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Investment Architects, Inc.17774
Street Address 1Street Address 2
34 PETALUMA BLVD. NORTH
CityState/Province/CountryZIP/Postal Code
PETALUMACALIFORNIA94952-3079
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
ALABAMA
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
GEORGIA
IDAHO
MINNESOTA
MISSOURI
NEVADA
OREGON
TEXAS
VIRGINIA
WASHINGTON

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
KOVACK SECURITIES INC.44848
Street Address 1Street Address 2
16451 N. FEDERAL HWY.SUITE 1201
CityState/Province/CountryZIP/Postal Code
FT. LAUDERDALEFLORIDA33308
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Lara, May & Associates, LLC145589
Street Address 1Street Address 2
7600 LEESBURG PIKE, STE 120 EAST
CityState/Province/CountryZIP/Postal Code
FALLS CHURCHVIRGINIA22043
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  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 NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Lincoln Investment519
Street Address 1Street Address 2
601 OFFICE CENTER DRIVE, STE. 300
CityState/Province/CountryZIP/Postal Code
FT. WASHINGTONPENNSYLVANIA19034
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
LPL Financial Corporation6413
Street Address 1Street Address 2
75 STATE ST. 24TH FLR
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 NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
March Capital Corp.24142
Street Address 1Street Address 2
2 N LASALLE ST STE 2300
CityState/Province/CountryZIP/Postal Code
CHICAGOILLINOIS60602-3975
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 YORK
NORTH CAROLINA
TEXAS
WASHINGTON
WISCONSIN

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Mid Atlantic Capital Corporation10674
Street Address 1Street Address 2
1251 WATERFRONT PLACE, STE 510
CityState/Province/CountryZIP/Postal Code
PITTSBURGHPENNSYLVANIA15222-6368
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Money Concepts Capital Corp12963
Street Address 1Street Address 2
11440 NORTH JOG ROAD
CityState/Province/CountryZIP/Postal Code
PALM BEACH GARDENSFLORIDA33418
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Strategic Financial Alliance, Inc.126514
Street Address 1Street Address 2
2200 CENTURY PKWY, STE 500
CityState/Province/CountryZIP/Postal Code
ATLANTAGEORGIA30345
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Sunbelt Securities, Inc.42180
Street Address 1Street Address 2
2700 POST OAK BLVD., STE. 1700
CityState/Province/CountryZIP/Postal Code
HOUSTONTEXAS77056
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

Recipient
Recipient CRD NumberXNone
more than 5None
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Triad Advisors, Inc.25803
Street Address 1Street Address 2
5785 PEACHTREE PARKWAY, STE 280
CityState/Province/CountryZIP/Postal Code
NORCROSSGEORGIA30092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
XAll States
  Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount USD
orXIndefinite
Total Amount Sold$234,919,350USD
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.
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:
2,959

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$416,906USD
  Estimate
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
Altegris QIM Futures Fund, L.P./s/ Matthew OsborneMatthew OsborneCEO & CIO of Issuer's GP2021-11-09

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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