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, and it discloses potential conflicts of interest arising from relationships with various financial institutions and asset managers who have invested in iCapital's parent company or provide services to the Funds. It also outlines the Code of Ethics adopted by iCapital to avoid conflicts of interest and ensure the propriety of employee trading activity.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0095277
- Date
- —
Relationships 8
| 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., the parent company of iCapital. |
| 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. | A number of asset managers have invested in Institutional Capital Network, Inc.. the parent company of iCapital, including affiliates of BlackRock, Inc. |
| Institutional Capital Network, Inc. | Investment | Credit Suisse Group AG | A number of asset managers have invested in Institutional Capital Network, Inc.. the parent company of iCapital, including affiliates of Credit Suisse Group AG. |
| Institutional Capital Network, Inc. | Investment | Morgan Stanley Smith Barney | select financial services companies. including affiliates of Morgan Stanley Smith Barney have made equity investments in Institutional Capital Network. Inc. |
| Institutional Capital Network, Inc. | Investment | UBS Financial Services | select financial services companies. including affiliates of UBS Financial Services have made equity investments in Institutional Capital Network. Inc. |
| iCapital | Business | equity investors | iCapital has and may continue to engage with certain of its equity investors to provide services to the Funds, including administration or other services. |
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 due to relationships with investors and service providers.
Financial Information
Assets:
- cash
Legal Compliance
- Potential conflicts of interest related to iCapital's relationships with various financial institutions and asset managers.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigationCompliance issues
People 1
Organizations 13
iCapital Advisors, LLCGen IIBNY Capital CorporationInstitutional Capital Network, Inc.iCapitalBlackRock, Inc.BlackRockCredit Suisse Group AGCredit SuisseMorgan Stanley Smith BarneyMorgan StanleyUBS Financial ServicesUBS
Financial Entities 1
BNY
Text Analysis
- Tone
- Professional
- Purpose
- To disclose potential conflicts of interest related to iCapital's relationships with various financial institutions and asset managers.
- Significance
- This document is important because it outlines potential conflicts of interest that could influence iCapital's investment decisions.
File Info
- File Name
- EFTA01390699.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:02.231168
- DOJ Source
- View on DOJ