Form D Raw Data - Electronic Filing Depository

EFDID: 23752EFD: Raw Data

Issuer: WINTON FUTURES FUND LP (US) (0001198415) - D/A

Accession: 0001198415-09-000003 () (EDGAR Files) (Form D)

Edgar Posted: Nov. 27, 2009
EFD Posted: Jan. 6, 2015

- < edgarSubmission >

< schemaVersion > X0603 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001198415 </ cik >

< entityName > WINTON FUTURES FUND LP (US) </ entityName >

- < issuerAddress >

< street1 > 1202 BERGEN PARKWAY </ street1 >

< street2 > SUITE 212 </ street2 >

< city > EVERGREEN </ city >

< stateOrCountry > CO </ stateOrCountry >

< zipCode > 80439-9559 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 303 674 1328 </ issuerPhoneNumber >

< jurisdictionOfInc > COLORADO </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Limited Partnership </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > n/a </ firstName >

< lastName > Altegris Portfolio Management Inc </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1202 Bergen Parkway </ street1 >

< street2 > Suite 212 </ street2 >

< city > Evergreen </ city >

< stateOrCountry > CO </ stateOrCountry >

< zipCode > 80439 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > General Partner of Issuer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Jon </ firstName >

< middleName > C </ middleName >

< lastName > Sundt </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1200 Prospect Street </ street1 >

< street2 > Suite 400 </ street2 >

< city > La Jolla </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 92037 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Director of Issuer's GP </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Robert </ firstName >

< middleName > J </ middleName >

< lastName > Amedeo </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1202 Bergen Parkway </ street1 >

< street2 > Suite 212 </ street2 >

< city > Evergreen </ city >

< stateOrCountry > CO </ stateOrCountry >

< zipCode > 80439 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Director of Issuer's GP </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Matthew </ firstName >

< middleName > C </ middleName >

< lastName > Osborne </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1200 Prospect Street </ street1 >

< street2 > Suite 400 </ street2 >

< city > La Jolla </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 92037 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Director of Issuer's GP </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Richard </ firstName >

< middleName > G </ middleName >

< lastName > Pfister </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1200 Prospect Street </ street1 >

< street2 > Suite 400 </ street2 >

< city > La Jolla </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 92037 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Director of Issuer's GP </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Pooled Investment Fund </ industryGroupType >

- < investmentFundInfo >

< investmentFundType > Other Investment Fund </ investmentFundType >

< is40Act > false </ is40Act >

</ investmentFundInfo >

</ industryGroup >

- < issuerSize >

< aggregateNetAssetValueRange > Over $100,000,000 </ aggregateNetAssetValueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001198415-09-000001 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 1999-11-03 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isPooledInvestmentFundType > true </ isPooledInvestmentFundType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 10000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Altegris Investments Inc </ associatedBDName >

< associatedBDCRDNumber > 8258 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1200 Prospect Street </ street1 >

< street2 > Suite 400 </ street2 >

< city > La Jolla </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 92037 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Commonwealth Financial Network </ associatedBDName >

< associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 29 Sawyer Road </ street1 >

< city > Waltham </ city >

< stateOrCountry > MA </ stateOrCountry >

< zipCode > 02453-3483 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > C.K. Cooper </ associatedBDName >

< associatedBDCRDNumber > 106578 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 18300 Von Karman Avenue </ street1 >

< street2 > Suite 700 </ street2 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 92612 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MO </ state >

< state > NE </ state >

< state > NV </ state >

< state > NJ </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > TX </ state >

< state > VA </ state >

< state > WA </ state >

< state > WV </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Uhlmann Price Securities LLC </ associatedBDName >

< associatedBDCRDNumber > 42854 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 141 W. Jackson Blvd </ street1 >

< street2 > Suite 1340A </ street2 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< zipCode > 60604 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Arete Wealth Management LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 9 Crystal Lake Road </ street1 >

< street2 > Suite 100 </ street2 >

< city > Lake in the Hills </ city >

< stateOrCountry > IL </ stateOrCountry >

< zipCode > 60156 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > LA </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MS </ state >

< state > MT </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > OH </ state >

< state > OR </ state >

< state > PA </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > over 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Pacific West Financial Consultants Inc </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Renton Place </ street1 >

< street2 > 555 S. Renton Village Pl, #700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< zipCode > 98055 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > morethan 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Polar Investment Counsel Inc </ associatedBDName >

< associatedBDCRDNumber > 42847 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 19547 210th Ave NE </ street1 >

< city > Thief River Falls </ city >

< stateOrCountry > MN </ stateOrCountry >

< zipCode > 56701 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WV </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Brewer Financial Services LLC </ associatedBDName >

< associatedBDCRDNumber > 132558 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 200 South Michigan Ave </ street1 >

< street2 > 21st Floor </ street2 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< zipCode > 60604 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Cambridge Investment Research Inc </ associatedBDName >

< associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1776 Pleasant Plain Rd </ street1 >

< city > Fairfield </ city >

< stateOrCountry > IA </ stateOrCountry >

< zipCode > 52556-8757 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Purshe Kaplan Sterling Investments </ associatedBDName >

< associatedBDCRDNumber > 35747 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 18 Corporate Woods Blvd </ street1 >

< city > Albany </ city >

< stateOrCountry > NY </ stateOrCountry >

< zipCode > 12211 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > VSR Financial Services Inc </ associatedBDName >

< associatedBDCRDNumber > 14503 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8620 W. 110th Street </ street1 >

< street2 > #200 </ street2 >

< city > Overland Park </ city >

< stateOrCountry > KS </ stateOrCountry >

< zipCode > 66210-9651 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Financial West Investment Group Inc </ associatedBDName >

< associatedBDCRDNumber > 16668 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4510 E. Thousand Oaks Blvd </ street1 >

< city > Westlake Village </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 91359-5123 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Okoboji Financial Services Inc </ associatedBDName >

< associatedBDCRDNumber > 33727 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1019 Highway 71 South </ street1 >

< city > Okoboji </ city >

< stateOrCountry > IA </ stateOrCountry >

< zipCode > 51355-0259 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > FL </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > MA </ state >

< state > MN </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NM </ state >

< state > NY </ state >

< state > ND </ state >

< state > OR </ state >

< state > SD </ state >

< state > TX </ state >

< state > UT </ state >

< state > WA </ state >

< state > WI </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Synergy Investment Group LLC </ associatedBDName >

< associatedBDCRDNumber > 46035 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8320 University Executive Park Dr </ street1 >

< street2 > Siote 112 </ street2 >

< city > Charlotte </ city >

< stateOrCountry > NC </ stateOrCountry >

< zipCode > 28262 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > RI </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WV </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Girard Securities </ associatedBDName >

< associatedBDCRDNumber > 18697 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 9560 Waples Street </ street1 >

< street2 > Suite B </ street2 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 92121 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Cascade Financial Management Icn </ associatedBDName >

< associatedBDCRDNumber > 119030 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1512 Larimer Street </ street1 >

< street2 > Suite 250 </ street2 >

< city > Denver </ city >

< stateOrCountry > CO </ stateOrCountry >

< zipCode > 80202 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MO </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > SD </ state >

< state > TX </ state >

< state > UT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > B C Ziegler </ associatedBDName >

< associatedBDCRDNumber > 61 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 200 S. Wacker Dr. </ street1 >

< street2 > Suite 2000 </ street2 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< zipCode > 60606 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > ING Financial Partners </ associatedBDName >

< associatedBDCRDNumber > 2882 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 909 Locust Street </ street1 >

< city > Des Moines </ city >

< stateOrCountry > IA </ stateOrCountry >

< zipCode > 50309 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > LPL Financial </ associatedBDName >

< associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 9785 Towne Centre Drive </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 92121-1968 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > MCL Financial Group Inc </ associatedBDName >

< associatedBDCRDNumber > 41180 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1551 North Tustin Ave </ street1 >

< street2 > Suite 960 </ street2 >

< city > Santa Ana </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 92705 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Multi-Financial Securities Corp </ associatedBDName >

< associatedBDCRDNumber > 10299 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1209 Broadway </ street1 >

< street2 > 14th Floor </ street2 >

< city > Denver </ city >

< stateOrCountry > CO </ stateOrCountry >

< zipCode > 80203 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > SII Investments Inc </ associatedBDName >

< associatedBDCRDNumber > 2225 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5555 Grande Market Drive </ street1 >

< city > Appleton </ city >

< stateOrCountry > WI </ stateOrCountry >

< zipCode > 54913-8403 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Sunbelt Securities </ associatedBDName >

< associatedBDCRDNumber > 42180 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5075 Westheimer </ street1 >

< street2 > Suite 670 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< zipCode > 77056 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > FL </ state >

< state > IL </ state >

< state > KS </ state >

< state > LA </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > NV </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > OH </ state >

< state > OK </ state >

< state > PA </ state >

< state > TX </ state >

< state > VA </ state >

< state > WA </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Wunderlich Securities </ associatedBDName >

< associatedBDCRDNumber > 2543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6000 Poplar </ street1 >

< street2 > Suite 150 </ street2 >

< city > Memphis </ city >

< stateOrCountry > TN </ stateOrCountry >

< zipCode > 38119 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Investment Centers of America Inc </ associatedBDName >

< associatedBDCRDNumber > 16443 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5555 Grande Market Drive </ street1 >

< city > Appleton </ city >

< stateOrCountry > WI </ stateOrCountry >

< zipCode > 54913-8403 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > National Planning Corporation </ associatedBDName >

< associatedBDCRDNumber > 29604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 401 Wilshire Blve </ street1 >

< street2 > Suite 1100 </ street2 >

< city > Santa Monica </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 90401 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Abshier Webb Donnelly & Baker, Inc. </ associatedBDName >

< associatedBDCRDNumber > 104051 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2500 City West Blvd., Ste 590 </ street1 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< zipCode > 77042 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MS </ state >

< state > MT </ state >

< state > NE </ state >

< state > NV </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > TX </ state >

< state > UT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Financial Network Investment Corp </ associatedBDName >

< associatedBDCRDNumber > 13572 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 200 N. Sepulveda Blvd., Ste 1300 </ street1 >

< city > El Segundo </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 90245-5672 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > First Independent Financial Services, Inc,. </ associatedBDName >

< associatedBDCRDNumber > 128904 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7134 South Yale, Ste 560 </ street1 >

< city > Tulsa </ city >

< stateOrCountry > OK </ stateOrCountry >

< zipCode > 74136 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > DE </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > LA </ state >

< state > MD </ state >

< state > MA </ state >

< state > MO </ state >

< state > NV </ state >

< state > NM </ state >

< state > NY </ state >

< state > OH </ state >

< state > PA </ state >

< state > SC </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > FSC Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 7461 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2300 Windy Ridge Pkwy, Ste 1100 </ street1 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< zipCode > 30339 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Geneos Wealth Management, Inc </ associatedBDName >

< associatedBDCRDNumber > 120894 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 9055 E. Mineral Circle, Ste 200 </ street1 >

< city > Centennial </ city >

< stateOrCountry > CO </ stateOrCountry >

< zipCode > 80112 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Glen Eagle Advisors LLC </ associatedBDName >

< associatedBDCRDNumber > 124504 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 200 American Metro Blvd., Ste 114 </ street1 >

< city > Hamilton </ city >

< stateOrCountry > NJ </ stateOrCountry >

< zipCode > 08619 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > IL </ state >

< state > KY </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > NJ </ state >

< state > NY </ state >

< state > NC </ state >

< state > OH </ state >

< state > PA </ state >

< state > SC </ state >

< state > TX </ state >

< state > VA </ state >

< state > WA </ state >

< state > WV </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Harrison Douglas, Inc. </ associatedBDName >

< associatedBDCRDNumber > 16515 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3025 South Parker Rd, #801 </ street1 >

< city > Aurora </ city >

< stateOrCountry > CO </ stateOrCountry >

< zipCode > 80014 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > FL </ state >

< state > GA </ state >

< state > IN </ state >

< state > MO </ state >

< state > NE </ state >

< state > NV </ state >

< state > NC </ state >

< state > OH </ state >

< state > OK </ state >

< state > SC </ state >

< state > TN </ state >

< state > VA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Independent Financial Group, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12636 High Bluff Dr., Ste 100 </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 92130 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Invest Financial Corporation </ associatedBDName >

< associatedBDCRDNumber > 12984 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8745 Henderson Rd., Ste 300 </ street1 >

< city > Tampa </ city >

< stateOrCountry > FL </ stateOrCountry >

< zipCode > 33634 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Lara, Shull & May, LLC </ associatedBDName >

< associatedBDCRDNumber > 145589 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7600 Leesburg Pike, Ste 120 East </ street1 >

< city > Falls Church </ city >

< stateOrCountry > VA </ stateOrCountry >

< zipCode > 22043 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > KS </ state >

< state > LA </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MO </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WV </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Madison Avenue Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 23224 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10731 Treena St., Ste 201 </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 92131 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Meridian United Capital, LLC </ associatedBDName >

< associatedBDCRDNumber > 122924 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8800 No. Gainey Center Dr., Ste 176 </ street1 >

< city > Scottsdale </ city >

< stateOrCountry > AZ </ stateOrCountry >

< zipCode > 85258 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AK </ state >

< state > AZ </ state >

< state > AR </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > FL </ state >

< state > GA </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > KS </ state >

< state > MD </ state >

< state > MI </ state >

< state > MN </ state >

< state > MO </ state >

< state > MT </ state >

< state > NJ </ state >

< state > NY </ state >

< state > NC </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > TX </ state >

< state > UT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WV </ state >

< state > WI </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Money Concepts Capital Group </ associatedBDName >

< associatedBDCRDNumber > 12963 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11440 North Jog Road </ street1 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< zipCode > 33418-3764 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Mutual Service Corporation </ associatedBDName >

< associatedBDCRDNumber > 4806 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 200 Australian Ave South </ street1 >

< city > West Palm Beach </ city >

< stateOrCountry > FL </ stateOrCountry >

< zipCode > 33401-5012 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Spire Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 144131 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12355 Sunrise Valley Dr., Ste 305 </ street1 >

< city > Reston </ city >

< stateOrCountry > VA </ stateOrCountry >

< zipCode > 20191 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AZ </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > IA </ state >

< state > KS </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MO </ state >

< state > NE </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > ND </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > SC </ state >

< state > TN </ state >

< state > TX </ state >

< state > VA </ state >

< state > WA </ state >

< state > WV </ state >

< state > WI </ state >

< state > WY </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Stateside Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 13178 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2002 Summit Blvd. Ste 1000 </ street1 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< zipCode > 30319 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > CA </ state >

< state > CT </ state >

< state > FL </ state >

< state > GA </ state >

< state > IA </ state >

< state > MA </ state >

< state > NJ </ state >

< state > NY </ state >

< state > NC </ state >

< state > OH </ state >

< state > TN </ state >

< state > TX </ state >

< state > VA </ state >

< state > WA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Sterne, Agee & Leach, Inc. </ associatedBDName >

< associatedBDCRDNumber > 791 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 800 Shades Creek Pkwy, Ste 700 </ street1 >

< city > Birmingham </ city >

< stateOrCountry > AL </ stateOrCountry >

< zipCode > 35209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Stifel, Nicolaus & Company, Incorporated </ associatedBDName >

< associatedBDCRDNumber > 793 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 501 North Broadway </ street1 >

< city > St. Louis </ city >

< stateOrCountry > MO </ stateOrCountry >

< zipCode > 63102 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Triad Advisors, Inc. </ associatedBDName >

< associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5185 Peachtree Pkwy, Ste 280 </ street1 >

< city > Norcross </ city >

< stateOrCountry > GA </ stateOrCountry >

< zipCode > 30092 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Veritrust Financial, LLC </ associatedBDName >

< associatedBDCRDNumber > 106594 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3755 Capital Highway South, Ste 130 </ street1 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< zipCode > 78704 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > WFG Investments, Inc. </ associatedBDName >

< associatedBDCRDNumber > 22704 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2711 N. Haskell Ave., Ste 2900 </ street1 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< zipCode > 75204 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Comprehensive Asset Management and Servicing, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43814 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2001 Route 46, Suite 506 </ street1 >

< city > Parsippany </ city >

< stateOrCountry > NJ </ stateOrCountry >

< zipCode > 07054 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< state > AK </ state >

< state > AZ </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > DE </ state >

< state > DC </ state >

< state > FL </ state >

< state > GA </ state >

< state > HI </ state >

< state > ID </ state >

< state > IL </ state >

< state > IN </ state >

< state > KS </ state >

< state > KY </ state >

< state > LA </ state >

< state > ME </ state >

< state > MD </ state >

< state > MA </ state >

< state > MI </ state >

< state > MN </ state >

< state > MS </ state >

< state > MO </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NM </ state >

< state > NY </ state >

< state > NC </ state >

< state > OH </ state >

< state > OK </ state >

< state > OR </ state >

< state > PA </ state >

< state > RI </ state >

< state > SC </ state >

< state > SD </ state >

< state > TN </ state >

< state > TX </ state >

< state > UT </ state >

< state > VT </ state >

< state > VA </ state >

< state > WA </ state >

< state > WI </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > BrokersXpress LLC </ associatedBDName >

< associatedBDCRDNumber > 127081 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 311 W. Monroe St. Ste 100 </ street1 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< zipCode > 60606 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Investment Architects, Inc. </ associatedBDName >

< associatedBDCRDNumber > 17774 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 34 Petaluma Blvd. North </ street1 >

< city > Petaluma </ city >

< stateOrCountry > CA </ stateOrCountry >

< zipCode > 94952-3079 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< state > CA </ state >

< state > CO </ state >

< state > CT </ state >

< state > ID </ state >

< state > MO </ state >

< state > MT </ state >

< state > NV </ state >

< state > OR </ state >

< state > TX </ state >

< state > VA </ state >

< state > WA </ state >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > more than 5 </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Steven L. Falk & Associates Inc. </ associatedBDName >

< associatedBDCRDNumber > 14297 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11280 Granite Ridge Dr. Ste 1042 </ street1 >

< city > Las Vegas </ city >

< stateOrCountry > NV </ stateOrCountry >

< zipCode > 89135 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< state > CT </ state >

< state > DC </ state >

< state > FL </ state >

< state > HI </ state >

< state > IL </ state >

< state > MD </ state >

< state > MA </ state >

< state > NV </ state >

< state > NH </ state >

< state > NJ </ state >

< state > NY </ state >

< state > OR </ state >

< state > PA </ state >

< state > RI </ state >

< state > VA </ state >

< state > WI </ state >

</ statesOfSolicitationList >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 608245021 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > true </ hasNonAccreditedInvestors >

< numberNonAccreditedInvestors > 25 </ numberNonAccreditedInvestors >

< totalNumberAlreadyInvested > 5674 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 888461 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > WINTON FUTURES FUND LP (US) </ issuerName >

< signatureName > Robert J Amedeo </ signatureName >

< nameOfSigner > Robert J Amedeo </ nameOfSigner >

< signatureTitle > VP of GP </ signatureTitle >

< signatureDate > 2009-11-25 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >