This document outlines the brokerage practices, account review processes, and client referral policies of iCapital Advisors, LLC. It details the firm's approach to achieving best execution in securities transactions, the delegation of trading authority to Sub-Advisers, and the use of 'soft dollar' credits. It also describes the periodic review of fund performance and the provision of financial statements to investors. Additionally, it covers the role of iCapital Securities, LLC in private placements and the compensation structure for third-party broker-dealers.
doj/DataSet10/EFTA01390999.pdf
{"title":"iCapital Advisors, LLC - Form ADV Part 2A","key_people":["iCapital Advisors, LLC","iCapital Securities, LLC"],"document_type":"financial","document_subtype":"Form ADV Part 2A","key_organizations":["iCapital Advisors, LLC","iCapital Securities, LLC","Third Lake Capital"],"reference_numbers":["DB-SDNY-0095711","SDNY_GM_00241895","EFTA01390999"]}