The document outlines the Code of Ethics and conflict of interest policies for iCapital Advisors, LLC. It specifies that employees must obtain written authorization from the CCO for personal investments and outlines the firm's participation in client transactions. It also discusses potential conflicts of interest, particularly regarding compensation from underlying fund managers.
doj/DataSet10/EFTA01390027.pdf
{"key_people":["Ian Slome"],"document_type":"legal","document_subtype":"Form ADV Part 2A","key_organizations":["iCapital Advisors, LLC","iCapital Securities, LLC"],"reference_numbers":["GLDUS138"]}