Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
other
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
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 and asset managers. It outlines how iCapital intends to manage these conflicts, including maintaining an independent diligence process and negotiating on an arms-length basis.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0094396, SDNY_GM_00240580
- Date
- —
Relationships 7
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| iCapital Advisors, LLC | Business | Gen II | 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. |
| Funds | Financial | BNY | Certain of the Funds hold cash in accounts at BNY and utilize BNY administrative services. |
| Institutional Capital Network, Inc. | Investment | BlackRock, Inc. | BlackRock, Inc. has invested in Institutional Capital Network, Inc. |
| Institutional Capital Network, Inc. | Investment | Credit Suisse Group AG | Credit Suisse Group AG has invested in Institutional Capital Network, Inc. |
| Institutional Capital Network, Inc. | Investment | Morgan Stanley Smith Barney | Morgan Stanley Smith Barney has made equity investments in Institutional Capital Network, Inc. |
| Institutional Capital Network, Inc. | Investment | UBS Financial Services | UBS Financial Services has made equity investments in Institutional Capital Network, Inc. |
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 asset managers over others.
Legal Compliance
- Potential conflicts of interest related to iCapital's business relationships with BNY, BlackRock, Credit Suisse, Morgan Stanley, and UBS.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigationCompliance issues
People 1
Organizations 9
iCapital 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
- Informative
- Purpose
- To disclose potential conflicts of interest related to iCapital's business relationships.
- Significance
- This document outlines potential conflicts of interest arising from iCapital's relationships with various financial institutions and asset managers.
File Info
- File Name
- EFTA01390026.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:43.130016
- DOJ Source
- View on DOJ