Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is Form ADV Part 2A for iCapital Advisors, LLC, outlining potential conflicts of interest arising from its relationships with various financial institutions and its code of ethics. It details how iCapital manages these conflicts, including maintaining an independent diligence process and negotiating terms on an arms-length basis.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0039552
- Date
- —
Relationships 8
| 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. |
| iCapital | business | BlackRock | iCapital may offer products managed or sponsored by BlackRock. |
| iCapital | business | Credit Suisse | iCapital may offer products managed or sponsored by Credit Suisse. |
| Morgan Stanley | investment | Institutional Capital Network, Inc. | Morgan Stanley has made equity investments in Institutional Capital Network, Inc. |
| UBS | investment | Institutional Capital Network, Inc. | UBS has made equity investments in Institutional Capital Network, Inc. |
| iCapital | business | Morgan Stanley | iCapital may offer Private Access Funds to clients of Morgan Stanley. |
| iCapital | business | UBS | iCapital may offer Private Access Funds to clients of UBS. |
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 incentives for iCapital to favor products from companies that have invested in its parent company.
Legal Compliance
- Potential conflicts of interest due to relationships with asset managers and financial services companies.
- 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
Organizations 14
Pacific Life Insurance CoiCapital Advisors, LLCGen IIBNY Capital CorporationBNYInstitutional Capital Network, Inc.BlackRock, Inc.BlackRockCredit Suisse Group AGCredit SuisseMorgan Stanley Smith BarneyMorgan StanleyUBS Financial ServicesUBS
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 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
- EFTA01354946.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:56.387034
- DOJ Source
- View on DOJ