0001086763-13-000002.txt : 20130219 0001086763-13-000002.hdr.sgml : 20130219 20130214191850 ACCESSION NUMBER: 0001086763-13-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130215 DATE AS OF CHANGE: 20130214 EFFECTIVENESS DATE: 20130215 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST FOUNDATION ADVISORS CENTRAL INDEX KEY: 0001086763 IRS NUMBER: 330221828 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05785 FILM NUMBER: 13617033 BUSINESS ADDRESS: STREET 1: 18101 VON KARMAN AVENUE STREET 2: STE 700 CITY: IRVINE STATE: CA ZIP: 92612 BUSINESS PHONE: 9494760300 MAIL ADDRESS: STREET 1: 18101 VON KARMAN AVENUE STREET 2: STE 700 CITY: IRVINE STATE: CA ZIP: 92612 FORMER COMPANY: FORMER CONFORMED NAME: KELLER GROUP INVESTMENT MANAGEMENT INC /CA/ DATE OF NAME CHANGE: 20010509 FORMER COMPANY: FORMER CONFORMED NAME: KELLER COLLINS HAKOPIAN & LEISURE INVESTMENT COUNSEL INC/CA DATE OF NAME CHANGE: 19990519 13F-HR 1 inftable13f1212.txt 13F-HR FOR 12-31-2012 13F-HR Form 13F Holdings Report UNITED STATES SECURITIES AND EXCHANGE COMMISION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year of Quarter Ended: December 31, 2012 Check here if Amendment [ ]; Amendment Number This Amendment (Check only one.):[ ] is a restatement [ ] adds new holding entries. Institutional Investment Manager Filing this Report: Name: First Foundation Advisors Address: 18101 Von Karman Avenue Suite 700 Irvine, CA 92612-1051 13F File Number: 28-05785 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedule, lists, and tables are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Gregory S. Bruce Title: Chief Compliance Officer Phone: 949-476-0300 Signature, Place, and Date of Signing: Gregory S. Bruce Irvine, California February 14, 2013 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 139 Form 13F Information Table Value Total: $422798 1 List of Other Included Managers: / NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Abbott Laboratories COM 002824100 295 4497 SH SOLE 4497 Aberdeen Asia Pacific Inc Fd COM 003009107 125 16133 SH SOLE 16133 Accenture Ltd Cl A SHS CLASS A G1151C101 5226 78580 SH SOLE 68106 10474 Altria Group Inc COM 02209s103 9094 289256 SH SOLE 261375 27881 Amercian Express COM 025816109 326 5675 SH SOLE 5675 American Realty Capital Prop COM 02917t104 2671 201719 SH SOLE 141089 60630 American Realty Trust COM 02917l101 1931 167334 SH SOLE 162448 4886 Anheuser-Busch Inbev SA/NV SPONSORED ADR 03524a108 19499 223079 SH SOLE 196122 26957 Annaly Mortgage Management COM 035710409 209 14862 SH SOLE 14862 Anworth Mortgage Asset Corp COM 037347101 58 10000 SH SOLE 10000 AON Corp SHS CL A g0408v102 13668 245782 SH SOLE 218193 27590 Apple Computer COM 037833100 3317 6234 SH SOLE 6063 171 Applied Materials Inc COM 038222105 686 59927 SH SOLE 47482 12445 Archer-Daniels Midland COM 039483102 8366 305454 SH SOLE 271587 33866 AT&T COM 00206r102 1415 41964 SH SOLE 41964 Bank of America Corp COM 060505104 180 15540 SH SOLE 15540 Bank Amer Corp Wt Exp 10/28/18 *W EXP 10/28/201 060505153 8 10000 SH SOLE 10000 Bank Amer Corp Wt Exp 01/16/19 *W EXP 01/16/201 060505146 82 15130 SH SOLE 13689 1441 Bank of New York Mellon COM 064058100 10445 406412 SH SOLE 366685 39727 Berkshire Hathaway Inc Cl A CL A 084670108 1877 14 SH SOLE 14 Berkshire Hathaway Inc Cl B CL B new 084670702 12793 142618 SH SOLE 126501 16117 Blackrock Build America Bond T SHS 09248x100 212 9290 SH SOLE 5730 3560 Blackrock Floating Rate Inc S COM 09255x100 775 51125 SH SOLE 44602 6523 Blackrock Floating Rate Inc T COM 091941104 194 12908 SH SOLE 12908 Blackrock Inc COM 09247x101 14821 71702 SH SOLE 64525 7177 British American Tobacco PLC SPONSORED ADR 110448107 7887 77894 SH SOLE 71494 6400 Broadcom Corp CL A 111320107 1286 38719 SH SOLE 38719 Brown Foreman Corp Cl B CL B 115637209 470 7423 SH SOLE 7423 Cablevision System Corp CL A NY CABLVS 12686c109 353 23659 SH SOLE 23325 334 Calamos Strategic Total Ret COM SH BEN INT 128125101 168 17116 SH SOLE 8798 8318 Canadian Natural Resources COM 136385101 7235 250621 SH SOLE 221713 28908 Caterpillar COM 149123101 326 3637 SH SOLE 3637 CBRE Clarion Global Real Est COM 12504g100 151 17000 SH SOLE 17000 CenturyLink, Inc COM 156700106 1983 50691 SH SOLE 49585 1106 Chevron Corp COM 166764100 2749 25421 SH SOLE 25421 Chimera Investment Corp COM 16934q109 113 43333 SH SOLE 43333 Cisco Systems Inc. COM 17275r102 280 14271 SH SOLE 13750 521 Citigroup Inc COM NEW 172967424 330 8353 SH SOLE 8353 Citi A Warrants Exp 01/04/19 *W EXP 01/04/201 172967226 12 28985 SH SOLE 28985 Coca Cola COM 191216100 589 16261 SH SOLE 16261 Colgate Palmolive COM 194162103 408 3903 SH SOLE 3903 Colony Financial Inc COM 19624r106 829 42500 SH SOLE 42500 Companhia de Bedidas SPON ADR PFD 20441w203 315 7509 SH SOLE 7403 106 ConocoPhillips COM 20825c104 239 4127 SH SOLE 4127 DCT Industrial Trust Inc COM 233153105 65 10000 SH sOLE 10000 Dell Inc COM 24702r101 150 14773 SH SOLE 13560 1213 Devon Energy COM 25179m103 4715 90596 SH SOLE 81110 9486 Diageo ADR SPON ADR NEW 25243q205 13900 119231 SH SOLE 104451 14781 Disney Walt Co COM DISNEY 254687106 7249 145585 SH SOLE 127780 17805 Dominion Resources VA COM 25746u109 321 6190 SH SOLE 6190 Doubleline Opportunistic CreditCOM 258623107 1383 51211 SH SOLE 37812 13399 Eaton Vance Tax-Managed Global COM 27829f108 267 30347 SH SOLE 29846 501 Edwards Life Sciences COM 28176e108 841 9326 SH SOLE 9326 Eldorado Gold Corp COM 284902103 146 11330 SH SOLE 11330 Eli Lilly & Co. COM 532457108 453 9191 SH SOLE 9191 Emerson Electric COM 291011104 249 4693 SH SOLE 4693 Enterprise Products Prtners LP COM 293792107 1626 32467 SH SOLE 31667 800 Exxon Mobil Corp COM 30231g102 2580 29813 SH SOLE 29636 177 Ford Motor Co COM PAR $0.01 345370860 146 11287 SH SOLE 11287 Frontier Communications COM 35906a108 107 25000 SH SOLE 25000 General Dynamics COM 369550108 9956 143724 SH SOLE 128224 15500 General Electric Company COM 369604103 8750 416853 SH SOLE 374473 42380 General Mills Inc COM 370334104 453 11218 SH SOLE 11218 Goldman Sachs Group Inv COM 38141g104 9138 71637 SH SOLE 64075 7562 Haliburton Company COM 406216101 291 8397 SH SOLE 8397 Home Depot Inc COM 437076102 312 5046 SH SOLE 5046 Int'l Business Machines Corp COM 459200101 16955 88514 SH SOLE 78046 10468 Illinois Tool Works COM 452308109 268 4412 SH SOLE 4412 Intel Corp COM 458140100 554 26884 SH SOLE 26884 Interactive Brokers Grp Inc COM 45841n107 367 26830 SH SOLE 26492 338 Intuitive Surgical Inc COM NEW 46120e602 302 615 SH SOLE 500 115 Invesco Van Kampen CA Value Mu COM 46132h106 222 16173 SH SOLE 16173 iShares Barclays TIPS Bond BARCLYS TIPS BD 464287176 1203 9906 SH SOLE 140 9766 iShares MSCI EAFE Index Fund MSCI EAFE IDX 464287465 432 7604 SH SOLE 6755 849 iShares S&P 500 Index Fund CORE S&P 500 ETF 464287200 2885 20157 SH SOLE 13878 6279 iShares S&P CA Muni S&P CAL AMTFR MN 464288356 515 4464 SH SOLE 4464 Johnson & Johnson COM 478160104 17665 251991 SH SOLE 229539 22453 JP Morgan Chase COM 46625h100 240 5449 SH SOLE 5449 Kinder Morgan Energy LP UT LTD PARTNER 494550106 297 3717 SH SOLE 3117 600 Level 3 Communications COM NEW 52729n308 368 15940 SH SOLE 13741 2199 Live Nation Inc COM 538034109 248 26595 SH SOLE 24052 2543 Lockheed Martin Corp COM 539830109 215 2332 SH SOLE 2332 Macquarie Global Infrastr. Tot COM 55608d101 265 13898 SH SOLE 13669 229 McDonalds Corporation COM 580135101 499 5656 SH SOLE 5656 Microsoft Corp. COM 594918104 12456 466340 SH SOLE 416678 49662 Mondelez Intl CL A 609207105 8239 323676 SH SOLE 288104 35572 National Oilwell Varco Inc COM 637071101 738 10803 SH SOLE 10803 Nordstrom Inc COM 655664100 268 5000 SH SOLE 5000 Novartis AG ADR SPONSORED ADR 66987v109 14376 227114 SH SOLE 203006 24108 Nucor Corp COM 670346105 616 14279 SH SOLE 14279 Nuveen Build Amercia Bond Fd COM 67074c103 301 14200 SH SOLE 10950 3250 Nuveen Multi-Strategy Inc & Gr COM 67073b106 246 25329 SH SOLE 13432 11897 Nuveen Multi-Strategy Inc & G2 COM SHS 67073d102 185 19174 SH SOLE 3710 15464 Oaktree Capital Group LLC UNIT 99/99/9999 674001201 837 18400 SH SOLE 18400 Occidental Petroleum COM 674599105 8483 110730 SH SOLE 98511 12219 Oracle Corp COM 68389x105 540 16221 SH SOLE 16221 Pacific Mercantile Bancorp COM 694552100 68 10802 SH SOLE 10802 PCM Fund Inc COM 69323t101 9967 829177 SH SOLE 767177 62000 Penn West Energy Trust COM 707887105 227 20906 SH SOLE 20906 Pepsico Inc COM 713448108 11887 173711 SH SOLE 153291 20420 Pfizer Inc. COM 717081103 3052 121701 SH SOLE 32651 89050 Phillip Morris International COM 718172109 16738 200123 SH SOLE 181704 18419 Pimco CA Muni Income Fund III COM 72201c109 1824 161659 SH SOLE 161659 Pimco Corp Opportunity COM 72201b101 233 11989 SH SOLE 11989 Pimco Enhanced Short Maturity ENHAN SHRT MAT 72201r833 538 5300 SH SOLE 5300 Pimco Income Fund COM 72201y101 2760 94401 SH SOLE 63408 30993 Pimco Income Strategy Fund COM 72201h108 645 50645 SH SOLE 50103 542 Pimco Income Strategy Fund II COM 72201j104 6595 596841 SH SOLE 557862 38979 Plains All American Pipeline UNIT LTD PARTN 726503105 325 7182 SH SOLE 7182 Potash Corp Sask Inc COM 73755l107 8007 196772 SH SOLE 172622 24150 Powershares Emerging Markets SOVEREIGN DEBT 73936t573 201 6390 SH SOLE 6390 Proctor & Gamble Co COM 742718109 355 5226 SH SOLE 5226 Public Storage COM 74460d109 378 2611 SH SOLE 2611 Qualcomm Inc COM 747525103 17094 276337 SH SOLE 131210 145127 Regency Centers Corp COM 758849103 671 14250 SH SOLE 14250 Republic Services Inc. COM 760759100 12811 436798 SH SOLE 381909 54889 Retail Opportunity COM 76131n101 1130 87900 SH SOLE 85900 2000 Rubicon Minerals corp COM 780911103 36 14000 SH SOLE 14000 Schlumberger Ltd COM 806857108 438 6322 SH SOLE 6322 Source Capital inc COM 836144105 341 6533 SH SOLE 6446 87 SPDR BarCap St CAP S/T HI YLD 78468r408 352 11514 SH SOLE 11514 SPDR Gold Trust GOLD SHS 78463v107 1205 7435 SH SOLE 7435 SPDR S&P 500 ETF Trust TR UNIT 78462f103 1509 10595 SH SOLE 9640 955 Starbucks Corp COM 855244109 294 5479 SH SOLE 4994 485 Starwood Property Trust COM 85571b105 1490 64900 SH SOLE 63900 1000 Suncor Energy Inc COM 867224107 5554 168396 SH SOLE 150790 17606 Teva Pharmeceutical ADR 881624209 9043 242176 SH SOLE 219086 23090 Ticc Capital Corp COM 87244t109 102 10126 SH SOLE 10126 Total S A Spon ADR SPONSORED ADR 89151E109 588 11314 SH SOLE 11314 TSW Strategic Income Fund Inc COM 872340104 366 68245 SH SOLE 48743 19502 United Parcel Service CL B CL B 911312106 14297 193913 SH SOLE 173171 20743 United Technologies Corp COM 913017109 360 4394 SH SOLE 4394 Ventas Inc COM 92276f100 743 11474 SH SOLE 11474 Verizon Communications COM 92343v104 382 8827 SH SOLE 8827 Wells Fargo & Co COM 949746101 354 10352 SH SOLE 10352 Wells Fargo Multi-Sect Inc FD COM SHS 94987d101 1145 70783 SH SOLE 63862 6921 Western Asset Emerging Mkts COM 95766a101 243 11139 SH SOLE 11139 Willis Group Holdings SHS g96666105 252 7507 SH SOLE 7390 117 World Wrestling Entertainment CL A 98156q108 319 40435 SH SOLE 39903 532