Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
Form ADV Part 2A
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is a Form ADV Part 2A for iCapital Advisors, LLC, disclosing potential conflicts of interest arising from relationships with various financial institutions and investors. It outlines the company's code of ethics and procedures for managing these conflicts.
Metadata
- Subject
- iCapital Advisors, LLC
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0039108
- Date
- —
Relationships 7
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| iCapital Advisors, LLC | Business | Gen II | The 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. |
| Funds | Financial | BNY | Certain of the Funds hold cash in accounts at BNY and utilize BNY administrative services. |
| Institutional Capital Network, Inc. | Investment | BlackRock, Inc. | A number of asset managers have invested in Institutional Capital Network, Inc., including affiliates of BlackRock, Inc. |
| Institutional Capital Network, Inc. | Investment | Credit Suisse Group AG | A number of asset managers have invested in Institutional Capital Network, Inc., including affiliates of Credit Suisse Group AG. |
| Institutional Capital Network, Inc. | Investment | Morgan Stanley Smith Barney | Select financial services companies, including affiliates of Morgan Stanley Smith Barney have made equity investments in Institutional Capital Network, Inc. |
| Institutional Capital Network, Inc. | Investment | UBS Financial Services | Select financial services companies, including affiliates of UBS Financial Services have made equity investments in Institutional Capital Network, Inc. |
Notable Quotes 2
Employees must at all times place the interests of the client first:
Employees must make sure that all personal securities transactions are conducted
Red Flags 1
- Potential conflicts of interest due to relationships with investors and service providers.
Public Knowledge
- Context
- Form ADV Part 2A is a disclosure document required by the SEC.
Legal Compliance
- Potential conflicts of interest related to relationships between iCapital Advisors, LLC and other financial entities.
Raw Analysis JSON
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Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigationCompliance/ethics
People 1
Organizations 9
iCapital Advisors, LLCGen IIBNY Capital CorporationInstitutional Capital Network, Inc.BlackRock, Inc.Credit Suisse Group AGMorgan Stanley Smith BarneyUBS Financial ServicesBNY
Financial Entities 5
BNY Capital CorporationBlackRock, Inc.Credit Suisse Group AGMorgan Stanley Smith BarneyUBS Financial Services
Text Analysis
- Tone
- Professional
- Purpose
- To disclose potential conflicts of interest related to relationships between iCapital Advisors, LLC and other financial entities.
- Significance
- This document outlines potential conflicts of interest that may arise due to relationships between iCapital, its parent company, and various financial institutions. It highlights the importance of maintaining an independent diligence process and negotiating on an arms-length basis.
File Info
- File Name
- EFTA01354513.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:13.504879
- DOJ Source
- View on DOJ