Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
other
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
This document is Form ADV Part 2A for iCapital Advisors, LLC, outlining their Code of Ethics, participation in client transactions, and potential conflicts of interest. It discusses employee investment restrictions, fee waivers, and the role of underlying managers and sub-advisers.
Metadata
- Subject
- iCapital Advisors, LLC Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0097468
- Date
- —
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| iCapital Advisors, LLC | investment adviser | Funds | iCapital serves as the investment adviser to the Funds. |
| iCapital Securities, LLC | placement agent | 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. |
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 existence of placement fees could create a potential conflict of interest.
Financial Information
Transactions:
- placement fee as a result of its placement of certain investors in certain Private Access Funds
Legal Compliance
- Potential conflict of interest due to placement fees received by iCapital Securities, LLC.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealingsEmployment/staffing
People 1
Organizations 3
iCapital Advisors, LLCiCapital Securities, LLCPrivate Access Funds
Text Analysis
- Tone
- Professional
- Purpose
- To describe iCapital Advisors, LLC's Code of Ethics, participation in client transactions, and conflicts of interest.
- Significance
- This document outlines the ethical guidelines and potential conflicts of interest for iCapital Advisors, LLC.
File Info
- File Name
- EFTA01392276.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:05.945498
- DOJ Source
- View on DOJ