Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
Form ADV Part 2A
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is Part 2A of Form ADV for iCapital Advisors, LLC, detailing brokerage practices, account review procedures, and client referral compensation. It outlines how iCapital selects brokers, reviews fund performance, and compensates third-party broker-dealers for client referrals.
Metadata
- Subject
- Brokerage Practices, Review of Accounts, Client Referrals and Other Compensation
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0096607, SDNY_GM_00242791
- Date
- —
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 are paid to iCapital Securities by an Underlying Fund Manager (or its affiliates). |
Financial Information
Assets:
- Private Access Funds
- Direct Access Funds
- Underlying 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).
- Third-party broker-dealer referring the investor will receive a percentage of the placement fee generated with respect to such investor.
Raw Analysis JSON
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Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigation
Organizations 4
GLDUS142 fronsedes Asset MgmtiCapital Advisors, LLCiCapital Securities, LLCUnderlying Fund Manager
Text Analysis
- Tone
- Professional
- Purpose
- To disclose brokerage practices, account review procedures, and client referral compensation related to iCapital Advisors, LLC.
- Significance
- This document outlines the policies and procedures of iCapital Advisors, LLC regarding brokerage practices, account reviews, and compensation for client referrals, providing transparency to investors.
File Info
- File Name
- EFTA01391623.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:06.018957
- DOJ Source
- View on DOJ