Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is Form ADV Part 2A for iCapital Advisors, LLC, outlining the firm's Code of Ethics and disclosing potential conflicts of interest. It discusses employee investment guidelines, compensation structures, and the relationship between iCapital and underlying fund managers.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0096141
- 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 | Funds | 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 potential conflict of interest arising from iCapital Securities, LLC receiving placement fees for placing investors in certain Private Access Funds.
Legal Compliance
- Potential conflict of interest due to placement fees received by iCapital Securities, LLC for placing investors in certain Private Access Funds.
Raw Analysis JSON
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Themes
Financial transactions/money flowLegal matters/litigationBusiness dealingsCompliance issues
Organizations 4
GLDUS124 BBR PartnersiCapital Advisors, LLCiCapital Securities, LLCPrivate Access Funds
Text Analysis
- Tone
- Professional
- Purpose
- To disclose potential conflicts of interest and ethical guidelines for employees of iCapital Advisors, LLC.
- Significance
- This document outlines the Code of Ethics for iCapital Advisors, LLC, and discloses potential conflicts of interest related to employee investments and compensation from underlying fund managers.
File Info
- File Name
- EFTA01391296.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:37.618815
- DOJ Source
- View on DOJ