The document outlines the Code of Ethics and conflict of interest policies for iCapital Advisors, LLC. It details the requirements for employees regarding personal investments, participation in client transactions, and potential conflicts of interest. The document also discusses compensation from underlying fund managers and the potential conflicts arising from placement fees.
doj/DataSet10/EFTA01391296.pdf
{"key_people":["CCO"],"document_type":"legal","document_subtype":"Form ADV Part 2A","key_organizations":["iCapital Advisors, LLC","iCapital Securities, LLC","BBR Partners"],"reference_numbers":["DB-SDNY-0096141","SDNY_GM_00242325","EFTA01391296"]}