Business Continuity Plan

The Altegris Group of Companies Summary of Business Continuity Planning

At Altegris, our goal is to put our clients first in every aspect of our business. We do this by planning how we will meet your needs during an unexpected business disruption, such as natural disasters, power outages and other extraordinary events. We have created a business continuity plan that outlines the steps we will take if a significant disruption to our business arises, so that you can continue to receive essential services from us or one of our third party service providers.

Securities and futures regulations require certain subsidiaries of the Altegris Group of Companies, including Altegris Investments, Inc., Altegris Futures, LLC, and Altegris Clearing Solutions, LLC, to provide you with basic information about our business continuity plan. Since the timing and impact of any such disruptions are unpredictable, our plan has been designed to be flexible in its response to events as they may occur. The following highlights and summarizes our plan.

Communicating With Us

Under normal conditions, you can contact us by telephone at (800) 828-5225 or (858) 459-7040 Mon-Fri 7:30am-4:30pm PST, email, fax, US mail and in person at our La Jolla, California office. If, after a significant business disruption, you cannot contact us by any of these standard methods, you can check our website(s) at www.altegris.com, www.altegrisfunds.com and www.altegrismutualfunds.com to find alternate or temporary contact information and updated information on what we are doing to quickly recover and resume business.

Our plan provides for immediate contact of service providers deemed critical to ongoing operations, and therefore the service providers will be apprised on our current situation and immediate continuity plans. If you are unable to contact the appropriate Altegris company by any of the above means, you may contact other service providers in respect of your investments as follows:

For segregated managed futures account investments acquired through Altegris Clearing Solutions or Altegris Futures, you should contact the clearing firm where your specific account is held for information regarding account balances, trading levels, redemptions and wire transfers. The clearing firm where each account is held maintains account records in a geographically separate area from where Altegris maintains duplicate account records for each such account of its clients. Altegris entities currently introduce accounts at the following clearing firms:


For hedge fund or managed futures fund investments made through Altegris Investments, contact the general partner, managing member, trustee, sponsor or other manager of your non-Altegris sponsored fund investments directly with inquiries as to balances, redemptions or other requests. These entities maintain account records, in most cases in a geographically separate area from where Altegris maintains duplicate account records for each fund investment made by its clients. The contact information for each of your fund investments will appear on the periodic account statements sent to you directly by each fund.

With respect to private fund and commodity pool investments in funds sponsored by Altegris Funds (an affiliate of Altegris Investments), you may contact SEI Global Services, Inc., the funds’ administrator for any immediate needs or information. SEI may be contacted at 1-610-676-8725, or by logging on to your client account portal at: https://altegris.seiinvestorportal.com/Login.aspx

For mutual fund investments made through Altegris Investments, contact Pershing, LLC, the clearing firm through which Altegris executes mutual fund orders. Pershing maintains your account records. The contact information for each of your fund investments will appear on the periodic account statements sent to you directly by Pershing. You may contact Pershing’s Customer Support at (201) 413-3635 for recorded instructions on how to process limited trade-related transactions, cash disbursements, and security transfers.

Instructions to Pershing must be in writing and transmitted via facsimile at (201) 413-5368 or by postal service as follows: Pershing LLC, P.O. Box 2065, Jersey City, NJ 07303-2065,www.pershing.com

Our Business Continuity Plan

We intend to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and taking the necessary steps to allow our customers to continue transacting business as normal. In short, our plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier/vendor, contractor, and bank impact; regulatory reporting; and assuring our customers have prompt access to funds and accounts held elsewhere if we are unable to continue our business.

Types of Significant Business Disruptions

Significant business disruptions can vary in their scope, such as those affecting (i) only our offices in La Jolla, California, (ii) the city of La Jolla, or (iii) San Diego, California. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In the event of a significant disruption, whether local or regional, we may transfer operations to an off-site location as necessary to recover and resume business operations as quickly as possible, in most instances within 24 hours.

It is important to note none of the Altegris Group maintains custody of your funds or securities. All funds are maintained with specific critical business constituents, a list of which is maintained by the Altegris Group. If the significant business disruption is so severe that it prevents us from remaining in business, your prompt access to, and information about, your funds and securities will continue to be available to you directly from the clearing firms, service providers, custodians, and third party funds that maintain your assets.

More Information

The preceding description is a general overview of Altegris’ plan, if you would like more information, we would be happy to help you. Please contact us by phone at (800) 828-5225 or by e-mail at compliance@altegris.com on business days from 7:30 to 5:00 PT.