The document outlines the brokerage practices, account review processes, and client referral and compensation policies of iCapital Advisors, LLC. It details the firm's approach to brokerage practices, including the selection of brokers and the use of 'soft dollar' credits. The document also describes the review process for fund performance and investor account statements, as well as the role of iCapital Securities, LLC in client referrals and compensation.
doj/DataSet10/EFTA01382902.pdf
{"title":"iCapital Advisors, LLC - Form ADV Part 2A","document_type":"financial","document_subtype":"Form ADV Part 2A","key_organizations":["iCapital Advisors, LLC","iCapital Securities, LLC","Southern Financial LLC"],"reference_numbers":["DB-SDNY-0082450","SDNY_GM_00228634","EFTA01382902"]}