Illegal Activity
suspicious
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, and it discloses potential conflicts of interest arising from relationships with various financial institutions like BNY, BlackRock, Credit Suisse, Morgan Stanley, and UBS. It also outlines the company's Code of Ethics and procedures for managing conflicts of interest.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0093962, SDNY_GM_00240146
- Date
- —
Illegal Activity
- Severity
- suspicious
- Description
- The document describes potential conflicts of interest, which could lead to unethical or illegal behavior if not properly managed.
- Content Type
- first_hand
Relationships 6
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| iCapital Advisors, LLC | business | Gen II | The Gen II relationship will be managed by several iCapital executives. |
| 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 1
Employees must at all times place the interests of the client first:
Red Flags 1
- The document highlights potential conflicts of interest that could incentivize iCapital to favor certain financial institutions or products over others.
Legal Compliance
- Potential conflicts of interest due to relationships with BNY, BlackRock, Credit Suisse, Morgan Stanley, and UBS.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigation
Organizations 10
GLDUS132 EverVVatch FinancialiCapital Advisors, LLCGen IIBNY Capital CorporationInstitutional Capital Network, Inc.BlackRock, Inc.Credit Suisse Group AGMorgan Stanley Smith BarneyUBS Financial ServicesUBS
Financial Entities 5
BNYBlackRockCredit SuisseMorgan StanleyUBS
Text Analysis
- Tone
- Professional
- Purpose
- To disclose potential conflicts of interest related to iCapital's relationships with other financial institutions.
- Significance
- This document outlines potential conflicts of interest that could influence iCapital's investment decisions.
File Info
- File Name
- EFTA01389599.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:05.586636
- DOJ Source
- View on DOJ