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 for iCapital Advisors, LLC, outlining potential conflicts of interest arising from its relationships with various financial institutions and its code of ethics. It discloses potential incentives for iCapital to favor certain products or services due to these relationships and describes measures to manage these conflicts.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0088234, SDNY_GM_00234418
- Date
- —
Relationships 5
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| 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, Inc. | iCapital may offer products managed or sponsored by BlackRock. |
| iCapital | business | Credit Suisse Group AG | iCapital may offer products managed or sponsored by Credit Suisse. |
| iCapital | business | Morgan Stanley Smith Barney | iCapital may offer Private Access Funds to clients of Morgan Stanley. |
| iCapital | business | UBS Financial Services | 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
- The document highlights several potential conflicts of interest due to iCapital's relationships with various financial institutions, which could incentivize iCapital to favor certain products or services over others.
Financial Information
Assets:
- Funds
- Private Access Funds
Public Knowledge
- Context
- Form ADV Part 2A is a disclosure document that investment advisers are required to provide to their clients.
Legal Compliance
- Potential conflicts of interest related to iCapital's business relationships with BNY, BlackRock, Credit Suisse, Morgan Stanley, and UBS.
- Compliance with Rule 204A-I of the Advisers Act regarding Code of Ethics.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigation
Organizations 14
SOUTHERN FINANCIAL LLCiCapital Advisors, LLCGen IIBNY Capital CorporationInstitutional Capital Network, Inc.iCapitalBlackRock, Inc.BlackRockCredit Suisse Group AGCredit SuisseMorgan Stanley Smith BarneyMorgan StanleyUBS Financial ServicesUBS
Financial Entities 1
BNY
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.
File Info
- File Name
- EFTA01386509.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:26.955216
- DOJ Source
- View on DOJ