The document outlines the Code of Ethics and conflict of interest policies for iCapital Advisors, LLC and its employees. It details the requirements for employees to obtain written authorization for personal investments, the monitoring of employee investments, and restrictions on participating in IPOs or outside business activities. It also discusses iCapital's role as an investment adviser, potential conflicts of interest, and compensation arrangements with underlying fund managers.
doj/DataSet10/EFTA01393220.pdf
{"key_people":["CCO"],"document_type":"legal","document_subtype":"Form ADV Part 2A","key_organizations":["iCapital Advisors, LLC","Aspen Grove Capital, LLC","iCapital Securities, LLC"],"reference_numbers":["DB-SDNY-0098709","SDNY_GM_00244893","EFTA01393220"]}