Illegal Activity
none
Blackmail
none
Date
1934
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is Form ADV Part 2A from iCapital Advisors, LLC, outlining their brokerage practices, account review processes, and client referral/compensation structures. It details how iCapital selects brokers, reviews fund performance, and handles client referrals, emphasizing transparency and adherence to regulatory guidelines.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0093965, SDNY_GM_00240149
- Date
- 1934
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| iCapital Securities, LLC | affiliate | iCapital Advisors, LLC | iCapital Securities, LLC is an affiliate of iCapital Advisors, LLC. |
| iCapital Securities | business | Underlying Fund Manager | Placement fees generated from an investment by a Private Access Fund in an Underlying Fund will be paid to iCapital Securities by an Underlying Fund Manager (or its affiliates). |
Notable Quotes 2
In seeking to achieve best execution, iCapital will not be obligated to obtain the lowest commission or best net price for a Private Access Fund in respect of any particular transaction.
A Sub-Adviser may use "soft dollar" credits generated by a Direct Access Fund's securities transactions with broker-dealers to pay for research and execution products or services that fall within the safe harbor created by Section 28(e) of the Securities Exchange Act of 1934.
Financial Information
Assets:
- Interests of the Funds
Transactions:
- Placement fees generated from an investment by a Private Access Fund in an Underlying Fund will be paid to iCapital Securities by an Underlying Fund Manager (or its affiliates).
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 6
GLDUS132 EverVVatch FinancialiCapital Advisors, LLCiCapital Securities, LLCPrivate Access FundsDirect Access FundUnderlying Fund Manager
Text Analysis
- Tone
- Professional
- Purpose
- To provide information about iCapital Advisors' brokerage practices, account reviews, and client referrals and other compensation.
- Significance
- This document outlines the brokerage practices and compensation structures of iCapital Advisors, providing transparency to investors.
File Info
- File Name
- EFTA01389602.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:02.601617
- DOJ Source
- View on DOJ