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, and it discloses potential conflicts of interest arising from relationships with various financial institutions like BNY, BlackRock, Credit Suisse, Morgan Stanley, and UBS. It also outlines iCapital's Code of Ethics, which aims 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-0097467
- Date
- —
Relationships 11
| 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. |
| iCapital | business | 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. |
| iCapital | business | BlackRock | iCapital may offer products managed or sponsored by BlackRock. |
| iCapital | business | Credit Suisse | iCapital may offer products managed or sponsored by Credit Suisse. |
| 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. |
| iCapital | business | Morgan Stanley | iCapital may offer Private Access Funds to clients of Morgan Stanley. |
| iCapital | business | UBS | iCapital may offer Private Access Funds to clients of UBS. |
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
- The potential for conflicts of interest due to the various relationships with financial institutions.
Legal Compliance
- Potential conflicts of interest due to relationships with BNY, BlackRock, Credit Suisse, Morgan Stanley, and UBS.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealingsCompliance issues
People 1
Organizations 8
iCapital Advisors, LLCGen IIBNY Capital CorporationInstitutional Capital Network, Inc.BlackRock, Inc.Credit Suisse Group AGMorgan Stanley Smith BarneyUBS Financial Services
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 to outline the company's Code of Ethics.
- Significance
- This document is significant because it outlines potential conflicts of interest and the measures iCapital takes to manage them, as well as the company's Code of Ethics.
File Info
- File Name
- EFTA01392275.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:28.133868
- DOJ Source
- View on DOJ