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, outlining its Code of Ethics and potential conflicts of interest. It discusses employee investment restrictions, compensation structures, and the management of conflicts related to placement fees and investment activities.
Metadata
- Subject
- Form ADV Part 2A
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0 100020
- Date
- —
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| iCapital Advisors, LLC | Employer-Employee | Employees | iCapital's Code of Ethics applies to employees. |
| iCapital Securities, LLC | Financial | Private Access Funds | iCapital Securities, LLC may receive a placement fee for placing investors in Private Access Funds. |
| iCapital | Investment Advisory | Underlying Fund Managers/Sub-Advisers | iCapital has no discretion or control over Underlying Manager's or Sub-Adviser's decisions. |
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 placing investors in Private Access Funds.
Financial Information
Assets:
- Equity securities
- Other instruments
- Aggregate capital commitments
Transactions:
- Personal investments in other private investment vehicles
- Placement fees for investors in Private Access Funds
- Employee investments in the Funds
Legal Compliance
- Potential conflicts of interest arising from placement fees received by iCapital Securities, LLC.
Raw Analysis JSON
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Themes
Financial transactions/money flowLegal matters/litigationBusiness dealingsEmployment/staffing
Organizations 4
DF EnterprisesiCapital Advisors, LLCiCapital Securities, LLCPrivate Access Funds
Text Analysis
- Tone
- Professional
- Purpose
- To describe iCapital Advisors, LLC's Code of Ethics and potential conflicts of interest.
- Significance
- This document outlines the ethical guidelines and potential conflicts of interest for iCapital Advisors, LLC and its employees.
File Info
- File Name
- EFTA01394059.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:59.016875
- DOJ Source
- View on DOJ