Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
Form ADV Part 2A
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
This document is Form ADV Part 2A for iCapital Advisors, LLC, outlining the firm's Code of Ethics and potential conflicts of interest. It discusses employee investment guidelines, compensation structures, and the relationship between iCapital and underlying fund managers.
Metadata
- Subject
- iCapital Advisors, LLC Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0093963 SDNY_GM_00240147
- 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. Neither 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 existence of placement fees could create a potential conflict of interest for iCapital Securities, LLC.
Legal Compliance
- Potential conflict of interest due to iCapital Securities, LLC receiving placement fees from Private Access Funds.
Raw Analysis JSON
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Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigation
Organizations 4
GLDUS132 EverVVatch FinancialiCapital Advisors, LLCiCapital Securities, LLCPrivate Access Funds
Text Analysis
- Tone
- Professional
- Purpose
- To disclose potential conflicts of interest and ethical guidelines for iCapital Advisors, LLC and its employees.
- Significance
- This document outlines the Code of Ethics and potential conflicts of interest within iCapital Advisors, LLC, particularly regarding employee investments and compensation from underlying fund managers.
File Info
- File Name
- EFTA01389600.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:16.556682
- DOJ Source
- View on DOJ