Illegal Activity
suspicious
Blackmail
none
Date
Unknown
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
This document is Form ADV Part 2A for iCapital Advisors, LLC, outlining potential conflicts of interest related to its business practices, including management persons, fees paid by brokerage limited partners, valuation of Fund's assets, and educational programs. It also details iCapital's privacy policy regarding investors' personal information.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- —
- Date
- —
Illegal Activity
- Severity
- suspicious
- Description
- The document outlines potential conflicts of interest, which could lead to illegal activities if not properly managed.
- Content Type
- none
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| iCapital | affiliates | iCapital Securities | iCapital Securities is an affiliate of iCapital. |
| iCapital | business | investment advisers | iCapital solicits investment advisers to participate in iCapital offered funds and performs diligence on them. |
| Funds | business | Underlying Fund Manager or Sub-Adviser | Values of the Fund's assets are calculated by the Fund's administrator based on estimates provided by the applicable Underlying Fund Manager or Sub-Adviser. |
Red Flags 4
- Conflicts of interest related to management persons involved with soliciting investment advisers and performing diligence on them.
- Conflicts of interest related to fees paid by brokerage limited partners.
- Conflicts of interest related to the valuation of Fund's assets by the Underlying Fund Manager or Sub-Adviser.
- Conflicts of interest related to educational programs offered by iCapital.
Legal Compliance
- Potential conflicts of interest related to management persons involved with soliciting investment advisers and performing diligence on them.
- Potential conflicts of interest related to fees paid by brokerage limited partners.
- Potential conflicts of interest related to the valuation of Fund's assets by the Underlying Fund Manager or Sub-Adviser.
- Potential conflicts of interest related to educational programs offered by iCapital.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealingsCommunications/correspondence
Organizations 5
Aspen Grove Capital, LLCiCapital Advisors, LLCiCapitaliCapital SecuritiesInstitutional Capital Network
Text Analysis
- Tone
- Informative
- Purpose
- To disclose potential conflicts of interest and privacy policy of iCapital Advisors, LLC.
- Significance
- This document outlines potential conflicts of interest related to iCapital's business practices and its privacy policy.
File Info
- File Name
- EFTA01393221.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:13.559452
- DOJ Source
- View on DOJ