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Document Mentions (5 shared documents)
2 mentions1 same-page
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age Services LLC and National Financial Services LLC (collectively, referred to as "Fidelity") pursuant to which the Investment Manager compensates Fidelity for providing certain administrative services in respect of investors who custody their investment in one or more iCapital Funds with Fidelity. T
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
2 mentions1 same-page
Page ?Same page
age Services LLC and National Financial Services LLC (collectively, referred to as "Fidelity") pursuant to which the Investment Manager compensates Fidelity for providing certain administrative services in respect of investors who custody their investment in one or more iCapital Funds with Fidelity. T
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
2 mentions1 same-page
Page ?Same page
age Services LLC and National Financial Services LLC (collectively, referred to as "Fidelity") pursuant to which the Investment Manager compensates Fidelity for providing certain administrative services in respect of investors who custody their investment in one or more iCapital Funds with Fidelity. T
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
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2 mentions1 same-page
Page ?Same page
age Services LLC and National Financial Services LLC (collectively, referred to as "Fidelity") pursuant to which the Investment Manager compensates Fidelity for providing certain administrative services in respect of investors who custody their investment in one or more iCapital Funds with Fidelity. T
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
2 mentions1 same-page
Page ?Same page
age Services LLC and National Financial Services LLC (collectively, referred to as "Fidelity") pursuant to which the Investment Manager compensates Fidelity for providing certain administrative services in respect of investors who custody their investment in one or more iCapital Funds with Fidelity. T
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
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Mutual Connections (89)
Entities connected to both Fidelity and Raymond James'
Credit Suisse
ORGANIZATION108 w/ Fidelity·18 w/ Raymond
Liechtenstein
LOCATION106 w/ Fidelity·5 w/ Raymond
National Financial Services
ORGANIZATION50 w/ Fidelity·5 w/ Raymond
iCapital
ORGANIZATION47 w/ Fidelity·5 w/ Raymond
Puerto Rico
LOCATION10 w/ Fidelity·41 w/ Raymond
Institutional Capital Network, Inc.
ORGANIZATION42 w/ Fidelity·5 w/ Raymond
the Securities and Exchange Commission
ORGANIZATION15 w/ Fidelity·23 w/ Raymond
Access Fund
ORGANIZATION16 w/ Fidelity·18 w/ Raymond
Fidelity Brokerage Services
ORGANIZATION23 w/ Fidelity·5 w/ Raymond
United Kingdom
LOCATION10 w/ Fidelity·10 w/ Raymond
Denmark
LOCATION8 w/ Fidelity·10 w/ Raymond
Finland
LOCATION7 w/ Fidelity·10 w/ Raymond
European Union
ORGANIZATION6 w/ Fidelity·10 w/ Raymond
United States
LOCATION10 w/ Fidelity·5 w/ Raymond
Glendower Capital
ORGANIZATION5 w/ Fidelity·10 w/ Raymond
the U.S. Investment Company Act
ORGANIZATION5 w/ Fidelity·10 w/ Raymond
Glendower
LOCATION5 w/ Fidelity·10 w/ Raymond
Raymond James & Associates, Inc.
ORGANIZATION5 w/ Fidelity·10 w/ Raymond
United States District Court
ORGANIZATION9 w/ Fidelity·5 w/ Raymond
Eric Holder
PERSON8 w/ Fidelity·5 w/ Raymond