Ethan S. Braid

HIGHPASS ASSET MANAGEMENT LLC

DENVER, CO 80237

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CRD#: 2935433

Professional summary

Ethan Scott Braid is a registered financial advisor currently at HIGHPASS ASSET MANAGEMENT LLC located in Denver, Colorado.

Ethan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Ethan has worked at 4 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan Scott Braid's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 5, 2011 - Present

HIGHPASS ASSET MANAGEMENT LLC

Office #1: 4600 S. Syracuse St. Ste 900, Denver, CO 80237

RIA

CRD#: 159535

DENVER, CO

Past

August 2, 2004 - December 12, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PEPPER PIKE, OH

Past

July 30, 2004 - December 12, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PEPPER PIKE, OH

Past

March 29, 2001 - August 2, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BEACHWOOD, OH

Past

April 5, 2000 - August 2, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 22, 1999 - March 28, 2000

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HIGHPASS ASSET MANAGEMENT LLC

CRD#: 159535 / SEC#: 801-118255

RIA

Registered Investment Advisory firm - (3/20/2020 Approved)

Colorado

Registered Investment Advisory firm - (8/11/2020 Terminated)

Ohio

Registered Investment Advisory firm - (8/16/2020 Terminated)

Texas

Registered Investment Advisory firm - (4/2/2013 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(9/19/2012)

IAR

Ohio
(12/5/2011)

IAR

Texas
(4/3/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/25/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 8/18/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/2/1999

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 9/17/1999

Municipal Securities Representative Examination

Current Firm

HIGHPASS ASSET MANAGEMENT LLC

CRD#: 159535 / SEC#: 801-118255

RIA

Registered Investment Advisory firm - (3/20/2020 Approved)

Colorado

Registered Investment Advisory firm - (8/11/2020 Terminated)

Ohio

Registered Investment Advisory firm - (8/16/2020 Terminated)

Texas

Registered Investment Advisory firm - (4/2/2013 Conditional Restricted)

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Contact information

Main Address

4600 S. Syracuse St. Ste 900, Denver, CO 80237

Mailing Address

Phone number

(303) 357-4602

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HIGHPASS ASSET MANAGEMENT LLC DISCLOSURE BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts	220
AUM (Assets Under Management)	$ 156,667,425

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Ethan S. Braid

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan Scott Braid's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

HIGHPASS ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/25/2000

Series 63

Date: 10/12/1999

Series 31

Date: 8/18/2001

Series 7

Date: 12/2/1999

Series 52

Date: 9/17/1999

Current Firm

HIGHPASS ASSET MANAGEMENT LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HIGHPASS ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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