The document outlines iCapital Advisors, LLC's brokerage practices, review of accounts, and client referrals and compensation policies. It details the firm's approach to achieving best execution in brokerage practices, the review process for fund performance, and the handling of client referrals and compensation. The document also mentions the use of 'soft dollar' credits and the provision of financial statements to investors.
doj/DataSet10/EFTA01392278.pdf
{"title":"iCapital Advisors, LLC Form ADV Part 2A","key_people":["Patrick Gerschel"],"document_type":"correspondence","document_subtype":"Form ADV Part 2A","key_organizations":["iCapital Advisors, LLC","iCapital Securities, LLC"],"reference_numbers":["DB-SDNY-0097470","SDNY_GM_00243654","EFTA01392278"]}