Illegal Activity
none
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, detailing their brokerage practices, account review processes, and compensation structures. It outlines how iCapital selects brokers, reviews fund performance, and handles client referrals, including the role of its affiliate, iCapital Securities, LLC.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0098711
- Date
- —
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| iCapital Advisors, LLC | affiliate | iCapital Securities, LLC | iCapital Securities, LLC is an affiliate of iCapital Advisors, LLC. |
| Direct Access Fund | contractual | Sub-Adviser | iCapital has selected a Sub-Adviser that had been delegated trading authority on behalf of the applicable Direct Access Fund. |
| Private Access Fund | business | Underlying Fund Manager | 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). |
Financial Information
Assets:
- Interests of the 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).
- Sub-Adviser may use "soft dollar" credits generated by a Direct Access Fund's securities transactions with broker-dealers to pay for research and execution products or services that fall within the safe harbor created by Section 28(e) of the Securities Exchange Act of 1934.
Raw Analysis JSON
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Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 6
Aspen Grove Capital, LLCiCapital Advisors, LLCiCapital Securities, LLCPrivate Access FundsDirect Access FundUnderlying Fund Manager
Text Analysis
- Tone
- Professional
- Purpose
- To provide information about iCapital Advisors' brokerage practices, review of accounts, and client referrals and other compensation.
- Significance
- This document outlines the brokerage practices and compensation structures of iCapital Advisors and its affiliates, which is important for investors to understand.
File Info
- File Name
- EFTA01393222.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:30.490075
- DOJ Source
- View on DOJ