Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
Form ADV Part 2A
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is Form ADV Part 2A for iCapital Advisors, LLC, outlining the company's Code of Ethics and addressing potential conflicts of interest. It discusses employee investment restrictions, compensation structures, and the management of conflicts arising from various business activities.
Metadata
- Subject
- iCapital Advisors, LLC - Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- —
- Date
- —
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| iCapital Advisors, LLC | Investment Adviser | Direct Investment Funds | iCapital serves as the investment adviser to the Funds. |
| iCapital Securities, LLC | Placement Agent | Private Access Funds | iCapital Securities, LLC may receive a placement fee as a result of its placement of certain investors in certain Private Access Funds. |
Notable Quotes 2
Employees should not take inappropriate advantage of their position.
The spirit of the Code of Ethics is to discourage frequent trading in personal employee accounts.
Red Flags 1
- The existence of placement fees could create a potential conflict of interest.
Financial Information
Assets:
- Equity securities
- Other instruments
- Funds
Transactions:
- Personal investments in other private investment vehicles
- Placement of investors in certain Private Access Funds
- Aggregate capital commitments of an iCapital Private Access Fund to its respective underlying fund
Legal Compliance
- Potential conflicts of interest arising from compensation from underlying fund managers.
Raw Analysis JSON
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Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigationEmployment/staffing
People 1
Organizations 6
iCapital Advisors, LLCiCapital Securities, LLCDirect Investment FundsUnderlying ManagerSub-AdviserPrivate Access Funds
Text Analysis
- Tone
- Professional
- Purpose
- To describe the Code of Ethics and potential conflicts of interest for iCapital Advisors, LLC.
- Significance
- This document outlines the policies and procedures iCapital Advisors, LLC has in place to manage potential conflicts of interest and ensure ethical behavior.
File Info
- File Name
- EFTA01354083.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:15.238994
- DOJ Source
- View on DOJ