Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
Form ADV Part 2A
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:44
Summary
This document is Form ADV Part 2A for iCapital Advisors, LLC, outlining the firm's code of ethics, potential conflicts of interest, and employee conduct. It discusses compensation structures and investment practices, aiming to provide transparency to investors.
Metadata
- Subject
- —
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0099574
- Date
- —
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| iCapital | investment adviser | Funds | iCapital serves as the investment adviser to the Funds. |
| Underlying Manager or Sub-Adviser | portfolio investments | Fund | Each Underlying Manager or Sub-Adviser, as applicable, is responsible for making portfolio investments for any Fund it manages. |
| iCapital Securities, LLC | placement | 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 potential conflict of interest arising from iCapital Securities, LLC receiving placement fees for directing investors to specific Private Access Funds.
Legal Compliance
- Potential conflicts of interest arising from compensation received by iCapital Securities, LLC for placing investors in Private Access Funds.
Raw Analysis JSON
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Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigation
Organizations 6
GLDUS137 Forrestal Capital LLCiCapital Advisors, LLCCCODirect Investment FundsiCapital Securities, LLCPrivate Access Funds
Text Analysis
- Tone
- Professional
- Purpose
- To disclose information about iCapital Advisors, LLC, including its code of ethics, participation in client transactions, and conflicts of interest.
- Significance
- This document outlines the operational and ethical guidelines of iCapital Advisors, LLC, providing transparency regarding potential conflicts of interest and employee conduct.
File Info
- File Name
- EFTA01393788.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:44:02.356917
- DOJ Source
- View on DOJ