Epstein Files Search

EFTA00284589Dataset 9

2011-05-1015p3,526w

…a custodian based on its interest rather than their clients. The first consideration when recommending broker/dealers to clients is best execution. Form ADV 14 Version: 5/1012011 7 EFTA00284599 2. Brokerage for Client Referrals WAM receives no referrals from a broker-dealer or third party in exchange for using that broker-dealer or third party. 3. Clients Directing Which Broker/Dealer/Custodian to Use WAM allows clients to direct brokerage. WAM may be unable to achieve most favorable execution…

https://www.justice.gov/epstein/files/DataSet%209/EFTA00284589.pdf

EFTA01384577Dataset 10

1p397w

…(See Side Letters, Item 4, above.) Item 14. Client Referrals and Other Compensation Hudson Bay Capital does not currently have any arrangements with third parties whereby such third parties are compensated for client referrals. In the event Hudson Bay Capital enters into compensation arrangements with third party solicitors for new advisory business, any such solicitation arrangements will comply with Rule 206(4)-3 under the Advisers Act. Item 15. Custody Fund assets covered by Rule 206(4)-2 of the…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384577.pdf

EFTA01389579Dataset 10

2017-03-311p449w

…Loss 8 Item 9: Disciplinary Information 22 Item 10: Other Financial Industry Activities and Affiliations 22 Item I I: Code of Ethics. Participation or Interest in Client Transactions and Personal Trading 23 Item 12: Brokerage Practices 26 Item I 3: Review of Accounts 26 Item 14: Client Referrals and Other Compensation 26 Item IS: Custody 27 Item 16: Investment Discretion 27 Item 17: Voting Client Securities 28 Item IS: Financial Information 28 Item 4: Advisory Business iCapital Advisors. LLC ("iCapital"…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01389579.pdf

EFTA01392257Dataset 10

2017-03-311p449w

…Loss 8 Item 9: Disciplinary Information 22 Item 10: Other Financial Industry Activities and Affiliations 22 Item I I: Code of Ethics. Participation or Interest in Client Transactions and Personal Trading 23 Item 12: Brokerage Practices 26 Item I 3: Review of Accounts 26 Item 14: Client Referrals and Other Compensation 26 Item IS: Custody 27 Item 16: Investment Discretion 27 Item 17: Voting Client Securities 28 Item IS: Financial Information 28 Item 4: Advisory Business iCapital Advisors. LLC ("iCapital"…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01392257.pdf

EFTA01390701Dataset 10

1p592w

…detailing the Fund's NAV. We may provide certain Investors in the Fund access to more frequent and detailed information as determined by iCapital. Additionally, each investor will receive the particular Funds' audited financial statements for which they are invested, within I80 days of such Funds' fiscal year end. Item 14: Client Referrals and Other Compensation iCapital Securities. LLC. an affiliate of iCapital, acts as the broker-dealer for private placement of interests of the Funds. iCapital Advisors does not…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01390701.pdf

EFTA01391921Dataset 10

1p592w

…detailing the Fund's NAV. We may provide certain Investors in the Fund access to more frequent and detailed information as determined by iCapital. Additionally, each investor will receive the particular Funds' audited financial statements for which they are invested, within I80 days of such Funds' fiscal year end. Item 14: Client Referrals and Other Compensation iCapital Securities. LLC. an affiliate of iCapital, acts as the broker-dealer for private placement of interests of the Funds. iCapital Advisors does not…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01391921.pdf

EFTA01391623Dataset 10

1p593w

…detailing the Fund's NAV. We may provide certain Investors in the Fund access to more frequent and detailed information as determined by iCapital. Additionally, each investor will receive the particular Funds' audited financial statements for which they are invested, within I80 days of such Funds' fiscal year end. Item 14: Client Referrals and Other Compensation iCapital Securities. LLC. an affiliate of iCapital, acts as the broker-dealer for private placement of interests of the Funds. iCapital Advisors does not…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01391623.pdf

EFTA01393203Dataset 10

2017-03-311p451w

…Loss 8 Item 9: Disciplinary Information 22 Item 10: Other Financial Industry Activities and Affiliations 22 Item I I: Code of Ethics. Participation or Interest in Client Transactions and Personal Trading 23 Item 12: Brokerage Practices 26 Item I 3: Review of Accounts 26 Item 14: Client Referrals and Other Compensation 26 Item IS: Custody 27 Item 16: Investment Discretion 27 Item 17: Voting Client Securities 28 Item IS: Financial Information 28 Item 4: Advisory Business iCapital Advisors. LLC ("iCapital"…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393203.pdf

EFTA01386221Dataset 10

1p449w

…financial statements as of the end of each fiscal year. Alkeon sends a monthly and/or a quarterly commentary to its clients. Item 14. Client Referrals and Other Compensation Alkeon pays third parties who provide client or investor referrals a percentage of the compensation that Alkeon otherwise would receive from such client or investor. Alkeon addresses the conflict of interest by ensuring that the relevant client or investor receives appropriate disclosure of that arrangement. Item 15. Custody One of Alkeon…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386221.pdf

EFTA01374133Dataset 10

1p450w

…financial statements as of the end of each fiscal year. Alkeon sends a monthly and/or a quarterly commentary to its clients. Item 14. Client Referrals and Other Compensation Alkeon pays third parties who provide client or investor referrals a percentage of the compensation that Alkeon otherwise would receive from such client or investor. Alkeon addresses the conflict of interest by ensuring that the relevant client or investor receives appropriate disclosure of that arrangement. Item 15. Custody One of Alkeon…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374133.pdf

EFTA01392278Dataset 10

1p592w

…detailing the Fund's NAV. We may provide certain Investors in the Fund access to more frequent and detailed information as determined by iCapital. Additionally. each investor will receive the particular Funds' audited financial statements for which they are invested, within I80 days of such Funds' fiscal year end. Item 14: Client Referrals and Other Compensation iCapital Securities. LLC. an affiliate of iCapital, acts as the broker-dealer for private placement of interests of the Funds. iCapital Advisors does not…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01392278.pdf

EFTA01354930Dataset 10

2017-03-311p451w

…Loss 8 Item 9: Disciplinary Information 22 Item 10: Other Financial Industry Activities and Affiliations 22 Item I I: Code of Ethics. Participation or Interest in Client Transactions and Personal Trading 23 Item 12: Brokerage Practices 26 Item I 3: Review of Accounts 26 Item 14: Client Referrals and Other Compensation 26 Item IS: Custody 27 Item 16: Investment Discretion 27 Item 17: Voting Client Securities 28 Item IS: Financial Information 28 Item 4: Advisory Business iCapital Advisors. LLC ("iCapital"…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354930.pdf

EFTA01354085Dataset 10

1p592w

…detailing the Fund's NAV. We may provide certain Investors in the Fund access to more frequent and detailed information as determined by iCapital. Additionally, each investor will receive the particular Funds' audited financial statements for which they are invested, within I80 days of such Funds' fiscal year end. Item 14: Client Referrals and Other Compensation iCapital Securities. LLC. an affiliate of iCapital, acts as the broker-dealer for private placement of interests of the Funds. iCapital Advisors does not…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354085.pdf

EFTA01394424Dataset 10

2017-03-311p450w

…Loss 8 Item 9: Disciplinary Information 22 Item 10: Other Financial Industry Activities and Affiliations 22 Item I I: Code of Ethics. Participation or Interest in Client Transactions and Personal Trading 23 Item 12: Brokerage Practices 26 Item I 3: Review of Accounts 26 Item 14: Client Referrals and Other Compensation 26 Item IS: Custody 27 Item 16: Investment Discretion 27 Item 17: Voting Client Securities 28 Item IS: Financial Information 28 Item 4: Advisory Business iCapital Advisors. LLC ("iCapital"…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394424.pdf

EFTA01391297Dataset 10

1p592w

…detailing the Fund's NAV. We may provide certain Investors in the Fund access to more frequent and detailed information as determined by iCapital. Additionally, each investor will receive the particular Funds' audited financial statements for which they are invested, within I80 days of such Funds' fiscal year end. Item 14: Client Referrals and Other Compensation iCapital Securities. LLC. an affiliate of iCapital, acts as the broker-dealer for private placement of interests of the Funds. iCapital Advisors does not…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01391297.pdf

EFTA01384525Dataset 10

1p144w

…Risk of Loss 22 Item 9. Disciplinary Information 83 Item 10. Other Financial Industry Activities and Affiliations 83 Item II. Code of Ethics, Participation or Interest in Client Transactions and Personal Trading 84 Item 12. Brokerage Practices 85 Item 13. Review of Accounts 90 Item 14. Client Referrals and Other Compensation 90 Item 15. Custody 90 Item 16. Investment Discretion 90 Item 17. Voting Client Securities 91 Item 18. Financial Information 92 3 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384525.pdf

EFTA01390987Dataset 10

2017-03-311p450w

…Loss 8 Item 9: Disciplinary Information 22 Item 10: Other Financial Industry Activities and Affiliations 22 Item I I: Code of Ethics. Participation or Interest in Client Transactions and Personal Trading 23 Item 12: Brokerage Practices 26 Item I 3: Review of Accounts 26 Item 14: Client Referrals and Other Compensation 26 Item IS: Custody 27 Item 16: Investment Discretion 27 Item 17: Voting Client Securities 28 Item IS: Financial Information 28 Item 4: Advisory Business iCapital Advisors. LLC ("iCapital"…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01390987.pdf

EFTA01354516Dataset 10

1p592w

…detailing the Fund's NAV. We may provide certain Investors in the Fund access to more frequent and detailed information as determined by iCapital. Additionally, each investor will receive the particular Funds' audited financial statements for which they are invested, within I80 days of such Funds' fiscal year end. Item 14: Client Referrals and Other Compensation iCapital Securities. LLC. an affiliate of iCapital, acts as the broker-dealer for private placement of interests of the Funds. iCapital Advisors does not…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354516.pdf

EFTA01389180Dataset 10

1p594w

…detailing the Fund's NAV. We may provide certain Investors in the Fund access to more frequent and detailed information as determined by iCapital. Additionally, each investor will receive the particular Funds' audited financial statements for which they are invested, within I80 days of such Funds' fiscal year end. Item 14: Client Referrals and Other Compensation iCapital Securities. LLC. an affiliate of iCapital, acts as the broker-dealer for private placement of interests of the Funds. iCapital Advisors does not…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01389180.pdf

EFTA01390029Dataset 10

1p592w

…detailing the Fund's NAV. We may provide certain Investors in the Fund access to more frequent and detailed information as determined by iCapital. Additionally, each investor will receive the particular Funds' audited financial statements for which they are invested, within I80 days of such Funds' fiscal year end. Item 14: Client Referrals and Other Compensation iCapital Securities. LLC. an affiliate of iCapital, acts as the broker-dealer for private placement of interests of the Funds. iCapital Advisors does not…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01390029.pdf