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 prohibits participation in IPOs or outside business activities without prior approval. iCapital serves as an investment adviser to various funds, and employees may invest in these funds. The document also discusses potential conflicts of interest, such as compensation from underlying fund managers, and how iCapital addresses these conflicts.
doj/DataSet10/EFTA01391621.pdf
{"key_people":["CCO"],"document_type":"legal","document_subtype":"Form ADV Part 2A","key_organizations":["iCapital Advisors, LLC","iCapital Securities, LLC"]}