Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
other
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is Form ADV Part 2A from iCapital Advisors, LLC, disclosing potential conflicts of interest arising from its relationships with various financial institutions like BNY, BlackRock, Credit Suisse, Morgan Stanley, and UBS. It also outlines the company's Code of Ethics to ensure employees prioritize client interests and avoid insider trading.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0038676
- Date
- —
Relationships 7
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| iCapital Advisors, LLC | business | Gen II | Gen II relationship will be managed by several iCapital executives. |
| BNY Capital Corporation | ownership | Institutional Capital Network, Inc. | BNY holds a minority ownership interest in Institutional Capital Network, Inc., the parent company of iCapital. |
| iCapital | business | BlackRock, Inc. | iCapital may offer products managed or sponsored by BlackRock. |
| iCapital | business | Credit Suisse Group AG | iCapital may offer products managed or sponsored by Credit Suisse. |
| iCapital | business | Morgan Stanley Smith Barney | iCapital may offer Private Access Funds to clients of Morgan Stanley. |
| iCapital | business | UBS Financial Services | iCapital may offer Private Access Funds to clients of UBS. |
| iCapital | business | equity investors | iCapital has and may continue to engage with certain of its equity investors to provide services to the Funds, including administration or other services. |
Notable Quotes 1
Employees must at all times place the interests of the client first:
Red Flags 2
- Potential incentives to select BNY, BlackRock, or Credit Suisse products due to existing relationships.
- Potential incentives for Morgan Stanley and UBS to direct investments to an iCapital Private Access Fund.
Legal Compliance
- Potential conflicts of interest due to relationships with BNY, BlackRock, Credit Suisse, Morgan Stanley, and UBS.
- Compliance with Rule 204A-I of the Advisers Act regarding Code of Ethics.
Raw Analysis JSON
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Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigation
People 1
Organizations 9
iCapital Advisors, LLCGen IIBNY Capital CorporationInstitutional Capital Network, Inc.BlackRock, Inc.Credit Suisse Group AGMorgan Stanley Smith BarneyUBS Financial ServicesiCapital Private Access Fund
Financial Entities 5
BNYBlackRockCredit SuisseMorgan StanleyUBS
Text Analysis
- Tone
- Professional
- Purpose
- To disclose potential conflicts of interest related to iCapital's business relationships and code of ethics.
- Significance
- This document outlines potential conflicts of interest arising from iCapital's relationships with various financial institutions and its code of ethics regarding employee trading.
File Info
- File Name
- EFTA01354082.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:41.060413
- DOJ Source
- View on DOJ