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, outlining the company's Code of Ethics and potential conflicts of interest. It discusses employee investment guidelines, participation in client transactions, and compensation structures that could create conflicts.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0088235
- Date
- —
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. |
| Underlying Manager or Sub-Adviser | Business | Fund | Each Underlying Manager or Sub-Adviser, as applicable, is responsible for making portfolio investments for any Fund it manages. |
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 existence of placement fees could create a potential conflict of interest.
Financial Information
Transactions:
- placement of certain investors in certain Private Access Funds
- portfolio investments for any Fund
Legal Compliance
- Potential conflict of interest due to placement fees received by iCapital Securities, LLC.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealingsCompliance issues
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 company's ethical guidelines and potential conflicts of interest, which is important for investors to understand.
File Info
- File Name
- EFTA01386510.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:41.984139
- DOJ Source
- View on DOJ