Hai H. Vu

BRENTVIEW INVESTMENT MANAGEMENT

Los Angeles, CA 90025

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CRD#: 4340547

Professional summary

Hai Huy Vu is a registered financial advisor currently at BRENTVIEW INVESTMENT MANAGEMENT, LLC located in Los Angeles, California.

Hai is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Hai has worked at 3 firms and has passed the Series 63, Series 87 and Series 7 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 Hai Huy Vu'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

January 22, 2020 - Present

BRENTVIEW INVESTMENT MANAGEMENT, LLC

Office #1: 11100 Santa Monica Boulevard, Los Angeles, CA 90025

RIA

CRD#: 300409

Los Angeles, CA

Past

June 19, 2008 - August 22, 2019

SANTA BARBARA ASSET MANAGEMENT, LLC

RIA

CRD#: 138123

LOS ANGELES, CA

Past

March 23, 2001 - October 17, 2005

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

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".

BRENTVIEW INVESTMENT MANAGEMENT, LLC

CRD#: 300409 / SEC#: 801-118493

RIA

Registered Investment Advisory firm - (4/21/2020 Approved)

California

Registered Investment Advisory firm - (9/23/2020 Terminated)

Illinois

Registered Investment Advisory firm - (4/21/2020 Terminated)

New York

Registered Investment Advisory firm - (8/24/2020 Terminated)

Tennessee

Registered Investment Advisory firm - (8/25/2020 Terminated)

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

California
(1/22/2020)

IAR

Illinois
(1/22/2020)

IAR

Tennessee
(1/22/2020)

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

Series 63

Date: 5/12/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 12/18/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 3/22/2001

General Securities Representative Examination

Current Firm

BRENTVIEW INVESTMENT MANAGEMENT, LLC

CRD#: 300409 / SEC#: 801-118493

RIA

Registered Investment Advisory firm - (4/21/2020 Approved)

California

Registered Investment Advisory firm - (9/23/2020 Terminated)

Illinois

Registered Investment Advisory firm - (4/21/2020 Terminated)

New York

Registered Investment Advisory firm - (8/24/2020 Terminated)

Tennessee

Registered Investment Advisory firm - (8/25/2020 Terminated)

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Contact information

Main Address

One Northfield Plaza Suite 522, Northfield, IL 60093

Mailing Address

Phone number

(312) 283-4450

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRENTVIEW INVESTMENT MANAGEMENT ADV PART 2 BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	178
AUM (Assets Under Management)	$ 185,911,369

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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Hai H. Vu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hai Huy Vu's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRENTVIEW INVESTMENT MANAGEMENT, LLC

SANTA BARBARA ASSET MANAGEMENT, LLC

JEFFERIES LLC

Primary Firm SEC Registration

BRENTVIEW INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/12/2001

Series 87

Date: 12/18/2004

Series 7

Date: 3/22/2001

Current Firm

BRENTVIEW INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRENTVIEW INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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