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 from iCapital Advisors, LLC, detailing brokerage practices, account review processes, and client referral compensation. It explains how iCapital selects brokers, reviews fund performance, and handles placement fees, ensuring compliance with regulations.
Metadata
- Subject
- Brokerage Practices, Review of Accounts, Client Referrals and Other Compensation
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0039987
- Date
- —
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| iCapital Securities, LLC | affiliate | iCapital Advisors, LLC | iCapital Securities, LLC is an affiliate of iCapital Advisors, LLC. |
| iCapital Securities | business | Underlying Fund Manager | Placement fees are paid to iCapital Securities by an Underlying Fund Manager (or its affiliates). |
Financial Information
Transactions:
- Placement fees generated from an investment by a Private Access Fund in an Underlying Fund will be paid to iCapital Securities by an Underlying Fund Manager (or its affiliates).
Raw Analysis JSON
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Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigation
Organizations 5
Annandale CapitaliCapital Advisors, LLCiCapitaliCapital Securities, LLCUnderlying Fund Manager
Text Analysis
- Tone
- Professional
- Purpose
- To disclose brokerage practices, account review processes, and client referral compensation related to iCapital Advisors, LLC and its funds.
- Significance
- This document outlines important operational and financial aspects of iCapital's fund management and brokerage activities, providing transparency to investors.
File Info
- File Name
- EFTA01355133.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:49.106101
- DOJ Source
- View on DOJ