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, which discloses potential conflicts of interest arising from relationships with various financial institutions and asset managers who have invested in iCapital's parent company. It also outlines the Code of Ethics that iCapital has adopted 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-0096604, SDNY_GM_00242788
- Date
- —
Relationships 6
| 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. |
| 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. |
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 asset managers and financial services companies.
Financial Information
Assets:
- cash in accounts at BNY
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigation
Organizations 10
GLDUS142 tronsedes Asset MgmtiCapital 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
- Professional
- Purpose
- To disclose potential conflicts of interest related to iCapital's relationships with various financial institutions and asset managers.
- Significance
- This document is significant because it outlines potential conflicts of interest that could influence iCapital's investment decisions.
File Info
- File Name
- EFTA01391620.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:51.064469
- DOJ Source
- View on DOJ