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 related to its business relationships with various financial institutions and its code of ethics. It details relationships with BNY, BlackRock, Credit Suisse, Morgan Stanley, and UBS, and describes how iCapital manages these conflicts.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0093530
- 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. |
| iCapital | business | BlackRock | iCapital may offer products managed or sponsored by BlackRock or its affiliates. |
| iCapital | business | Credit Suisse | iCapital may offer products managed or sponsored by Credit Suisse or its affiliates. |
| iCapital | business | Morgan Stanley | iCapital may offer Private Access Funds to clients of Morgan Stanley. |
| iCapital | business | UBS | 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
- Potential conflicts of interest arising from iCapital's relationships with various financial institutions.
Financial Information
Assets:
- cash
Legal Compliance
- Potential conflicts of interest related to iCapital's business relationships.
- 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 13
Georgetown University EndowmentiCapital Advisors, LLCGen IIBNY Capital CorporationInstitutional Capital Network, Inc.BlackRock, Inc.Credit Suisse Group AGBlackRockCredit SuisseMorgan Stanley Smith BarneyMorgan StanleyUBS Financial ServicesUBS
Financial Entities 1
BNY
Text Analysis
- Tone
- Informative
- 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
- EFTA01389177.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:03.212821
- DOJ Source
- View on DOJ