Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is Form ADV Part 2A from iCapital Advisors, LLC, detailing brokerage practices, account review processes, and client referral/compensation structures. It outlines how iCapital handles investments, selects brokers, reviews fund performance, and compensates parties involved in private placements.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0055147, SDNY_GM_00201331
- 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. |
| Direct Access Fund | business | Sub-Adviser | iCapital has selected a Sub-Adviser that had been delegated trading authority on behalf of the applicable Direct Access Fund. |
Financial Information
Assets:
- Interests of the Funds
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
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 7
GLOUS238 SOUTHERN FINANCIAL LLCiCapital Advisors, LLCiCapital Securities, LLCPrivate Access FundsDirect Access FundUnderlying FundsUnderlying Fund Manager
Text Analysis
- Tone
- Professional
- Purpose
- To provide information about brokerage practices, review of accounts, and client referrals and other compensation.
- Significance
- This document outlines the brokerage practices, account review processes, and compensation structures of iCapital Advisors, LLC and its affiliates.
File Info
- File Name
- EFTA01364599.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:23.024579
- DOJ Source
- View on DOJ