The document is a Form ADV Part 2A for iCapital Advisors, LLC, detailing their brokerage practices, review of accounts, and client referrals and compensation. It outlines the firm's approach to brokerage practices, including the selection of brokers and the use of 'soft dollar' credits. It also describes the review process for fund performance and the distribution 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/EFTA01393222.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":["Aspen Grove Capital, LLC","iCapital Advisors, LLC","iCapital Securities, LLC"],"reference_numbers":["DB-SDNY-0098711","SDNY_GM_00244895","EFTA01393222"]}