Illegal Activity
suspicious
Blackmail
none
Date
Unknown
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
This document is Form ADV Part 2A for iCapital Advisors, LLC, outlining its Code of Ethics and potential conflicts of interest. It discusses compensation structures and employee investment guidelines to ensure ethical conduct.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0082448, SDNY_GM_00228632
- Date
- —
Illegal Activity
- Severity
- suspicious
- Description
- The document discusses potential conflicts of interest, which could lead to illegal activity if not properly managed.
- Content Type
- none
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| iCapital Securities, LLC | business | Private Access Funds | iCapital Securities, LLC may receive a placement fee as a result of its placement of certain investors in certain Private Access Funds. |
| iCapital | business | Underlying Fund Managers/Sub-Advisers | iCapital nor the Funds have any discretion or control over an Underlying Manager's or Sub-Adviser's decisions. |
Notable Quotes 2
Employees should not take inappropriate advantage of their position.
The spirit of the Code of Ethics is to discourage frequent trading in personal employee accounts.
Red Flags 1
- The potential conflict of interest arising from iCapital Securities, LLC receiving placement fees for directing investors to certain Private Access Funds.
Legal Compliance
- Potential conflicts of interest arising from compensation received by iCapital Securities, LLC for placing investors in Private Access Funds.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigation
Organizations 4
GLOUS238 SOUTHERN FINANCIAL LLCiCapital Advisors, LLCiCapital Securities, LLCPrivate Access Funds
Text Analysis
- Tone
- Professional
- Purpose
- To disclose information about iCapital Advisors, LLC, including its Code of Ethics and potential conflicts of interest.
- Significance
- This document outlines the ethical guidelines and potential conflicts of interest for iCapital Advisors, LLC, which is important for investors to understand.
File Info
- File Name
- EFTA01382900.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:35.256522
- DOJ Source
- View on DOJ