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, and it discloses potential conflicts of interest arising from relationships with financial institutions like BlackRock, Credit Suisse, Morgan Stanley, and UBS, which have invested in iCapital's parent company. It also outlines the company's Code of Ethics, emphasizing the importance of prioritizing client interests and avoiding insider trading.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0055144
- 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.. the parent company of iCapital, 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.. the parent company of iCapital, 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 1
Employees must at all times place the interests of the client first:
Red Flags 1
- Potential conflicts of interest due to relationships between iCapital, its parent company, and various financial institutions.
Financial Information
Assets:
- cash in accounts
Legal Compliance
- Potential conflicts of interest related to investments in iCapital's parent company and relationships with financial institutions.
Raw Analysis JSON
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Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigation
Organizations 14
GLOUS238 SOUTHERN FINANCIAL LLCiCapital 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 investments in iCapital's parent company and relationships with financial institutions.
- Significance
- This document outlines potential conflicts of interest that may arise due to relationships between iCapital, its parent company, and various financial institutions, including BlackRock, Credit Suisse, Morgan Stanley, and UBS.
File Info
- File Name
- EFTA01364596.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:59.309026
- DOJ Source
- View on DOJ