0001086763-19-000012.txt : 20191112
0001086763-19-000012.hdr.sgml : 20191112
20191112150229
ACCESSION NUMBER: 0001086763-19-000012
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20191112
DATE AS OF CHANGE: 20191112
EFFECTIVENESS DATE: 20191112
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: 191208751
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
primary_doc.xml
13F-HR
LIVE
false
false
false
0001086763
XXXXXXXX
09-30-2019
09-30-2019
false
FIRST FOUNDATION ADVISORS
18101 Von Karman Avenue
Ste 700
Irvine
CA
92612
13F HOLDINGS REPORT
028-05785
N
GREGORY S. BRUCE
CHIEF COMPLIANCE OFFICER
949-622-3724
GREGORY S. BRUCE
IRVINE
CA
11-12-2019
1
395
1873194
01
0001167365
028-10659
HIGHLAND CAPITAL MANAGEMENT LP
INFORMATION TABLE
2
infotable.xml
3M Co Com
COM
88579Y101
599
3646
SH
SOLE
3616
0
30
Abbott Laboratories
COM
002824100
581
6940
SH
SOLE
3729
0
3211
AbbVie Inc
COM
00287y109
846
11175
SH
SOLE
7740
0
3435
Aberdeen Asia Pacific Income F
COM
003009107
101
24213
SH
SOLE
24213
0
0
Accenture PLC
SHS CLASS A
g1151c101
903
4695
SH
SOLE
3375
0
1320
Activision Blizzard Inc
COM
00507v109
360
6810
SH
SOLE
2208
0
4602
AK Steel Holding Corp
COM
001547108
41
18000
SH
SOLE
18000
0
0
Alexandria Real Estate Equitie
COM
015271109
3124
20282
SH
SOLE
19954
0
328
Alexandria RE Equities Inc Pfd Series D 7
PFD CONV SER D
015271505
2382
61369
SH
SOLE
55352
0
6018
Alibaba Group Holding Inc
SPONSORED ADS
01609w102
757
4528
SH
SOLE
1878
0
2650
Allergan PLC
SHS
g0177j108
736
4373
SH
SOLE
4299
0
74
Allianzgi Convertible & Income
COM
018825109
59
11760
SH
SOLE
11760
0
0
Alphabet Inc Class A
CAP STK CL A
02079k305
3836
3141
SH
SOLE
1537
0
1604
Alphabet Inc Class A
CAP STK CL A
02079k305
709
581
SH
DFND
01
581
0
0
Alphabet Inc Class C
CAP STK CL C
02079k107
75976
62326
SH
SOLE
56143
0
6183
Alphabet Inc Class C
CAP STK CL C
02079k107
3037
2491
SH
DFND
01
2491
0
0
Altria Group Inc
COM
02209s103
381
9326
SH
SOLE
8487
0
839
Amazon.com Inc
COM
023135106
39768
22909
SH
SOLE
20109
0
2800
Amazon.com Inc
COM
023135106
1502
865
SH
DFND
01
865
0
0
American Express Co
COM
025816109
325
2750
SH
SOLE
1859
0
891
American Finance Trust Inc - Cl A
COM CLASS A
02607t109
720
51606
SH
SOLE
34969
0
16637
American Water Works Co Inc
COM
030420103
333
2683
SH
SOLE
0
0
2683
AmerisourceBergen Corp
COM
03073e105
12071
146618
SH
SOLE
133120
0
13497
Amgen Inc
COM
031162100
845
4364
SH
SOLE
2915
0
1449
AMREP Corp
COM
032159105
426
74623
SH
SOLE
73709
0
914
AMREP Corp
COM
032159105
26
4520
SH
DFND
01
4520
0
0
Analog Devices Inc
COM
032654105
1488
13322
SH
SOLE
2909
0
10413
Anheuser-Busch InBev NV ADR
SPONSORED ADR
03524a108
15677
164764
SH
SOLE
147620
0
17144
Annaly Capital Management Inc
COM
035710409
273
31026
SH
SOLE
30710
0
316
Anthem Inc
COM
036752103
9274
38627
SH
SOLE
34846
0
3780
Apple Inc
COM
037833100
15835
70703
SH
SOLE
55789
0
14914
Aptiv PLC
SHS
g6095l109
588
6730
SH
SOLE
1492
0
5238
Armstrong World Industries Inc
COM
04247x102
1295
13396
SH
SOLE
3017
0
10379
AT&T Inc
COM
00206r102
1936
51166
SH
SOLE
47069
0
4097
Automatic Data Processing Inc
COM
053015103
277
1715
SH
SOLE
1431
0
284
Axos Financial Inc
COM
05465c100
1327
48000
SH
SOLE
48000
0
0
Baidu Inc
SPON ADR REP A
056752108
1924
18723
SH
SOLE
16535
0
2188
Ball Corp
COM
058498106
15362
210991
SH
SOLE
189359
0
21631
Bank of America Corp
COM
060505104
438
15016
SH
SOLE
12233
0
2783
Bank of America Non-Cumulative
7.25%CNV PFD L
060505682
1522
1015
SH
SOLE
864
0
151
Bank of New York Mellon Co
COM
064058100
979
21646
SH
SOLE
17081
0
4565
Baxter International Inc
COM
071813109
2592
29635
SH
SOLE
6581
0
23054
Berkshire Hathaway CL A
CL A
084670108
4366
14
SH
SOLE
14
0
0
Berkshire Hathaway Inc Cl B
CL B NEW
084670702
57130
274639
SH
SOLE
247565
0
27074
Berkshire Hathaway Inc Cl B
CL B NEW
084670702
3509
16870
SH
DFND
01
16870
0
0
BlackRock California Municipal
SH BEN INT
09248e102
2797
204360
SH
SOLE
190257
0
14103
BlackRock Core Bond Trust
SHS BEN INT
09249e101
3846
266182
SH
SOLE
250599
0
15583
BlackRock Credit Allocation In
COM
092508100
3313
243278
SH
SOLE
232291
0
10987
BlackRock Floating Rate Income
COM
09255x100
1061
84102
SH
SOLE
79225
0
4877
BlackRock Floating Rate Income
COM
091941104
158
12908
SH
SOLE
12908
0
0
BlackRock Inc
COM
09247x101
21416
48057
SH
SOLE
43353
0
4704
BlackRock Limited Duration Inc
COM SHS
09249w101
1283
82062
SH
SOLE
75094
0
6968
BlackRock Multi-Sector Income
COM
09258a107
1362
79384
SH
SOLE
70905
0
8479
BlackRock Municipal 2020 Term
COM SHS
09249x109
193
12800
SH
SOLE
12800
0
0
BlackRock Municipal 2030 Targe
COM SHS BEN IN
09257p105
2644
111743
SH
SOLE
91376
0
20367
BlackRock MuniHoldings Califor
COM
09254l107
4170
295309
SH
SOLE
256697
0
38612
BlackRock MuniHoldings Investm
COM
09254p108
75
5580
SH
SOLE
5580
0
0
BlackRock MuniHoldings Investm
COM
09254p108
250
18500
SH
DFND
01
18500
0
0
BlackRock MuniYield California
COM
09254m105
2296
159801
SH
SOLE
146206
0
13595
BlackRock MuniYield California
COM
09254n103
2580
179265
SH
SOLE
165755
0
13510
BlackRock Taxable Municipal Bo
SHS
09248x100
4116
166513
SH
SOLE
156764
0
9750
BlackRock Taxable Municipal Bo
SHS
09248x100
1529
61863
SH
DFND
01
61863
0
0
Blackstone Group LP
COM UNIT LTD
09253u108
244
5000
SH
SOLE
5000
0
0
Bloom Energy Corp
COM CL A
093712107
501
154266
SH
SOLE
141766
0
12500
Boeing Co
COM
097023105
2026
5325
SH
SOLE
4580
0
745
Booking Holdings Inc
COM
09857l108
16961
8642
SH
SOLE
7791
0
851
BP PLC
SPONSORED ADR
055622104
217
5719
SH
SOLE
5389
0
330
Bristol Myers Squibb Co
COM
110122108
239
4709
SH
SOLE
1997
0
2712
Broadcom Inc
COM
11135f101
1833
6639
SH
SOLE
6161
0
478
Brookfield Asset Management In
CL A LTD VT SH
112585104
17151
323064
SH
SOLE
291807
0
31256
Brookfield Asset Management In
CL A LTD VT SH
112585104
1331
25079
SH
DFND
01
25079
0
0
Brookfield Infrastructure Part
LP INT UNIT
g16252101
1116
22500
SH
SOLE
22500
0
0
Brookfield Property REIT Inc
CL A
11282x103
911
44666
SH
SOLE
35140
0
9526
Brookfield Property REIT Inc
CL A
11282x103
899
44100
SH
DFND
01
44100
0
0
Brookfield Real Assets Income
SHS BEN INT
112830104
941
41674
SH
SOLE
34361
0
7312
Brown Forman Corp Class B With
CL B
115637209
2118
33739
SH
SOLE
31129
0
2610
Brown-Forman Corp Class A Shar
CL A
115637100
360
6017
SH
SOLE
6017
0
0
Brunswick Corp/DE
COM
117043109
330
6322
SH
SOLE
1410
0
4912
Calamos Global Dynamic Income
COM
12811l107
78
10000
SH
SOLE
10000
0
0
Caledonia Mining Corp PLC
SHS NEW
g1757e113
130
19200
SH
SOLE
0
0
19200
Canadian National Railway Co
COM
136375102
1951
21714
SH
SOLE
140
0
21574
Canadian Natural Resources Ltd
COM
136385101
668
25096
SH
SOLE
25000
0
96
Cardiovascular Systems Inc
COM
141619106
311
6550
SH
SOLE
6550
0
0
CarMax Inc
COM
143130102
5416
61545
SH
SOLE
54900
0
6645
Caterpillar Inc
COM
149123101
397
3144
SH
SOLE
1995
0
1149
CenturyLink Inc
COM
156700106
8593
688530
SH
SOLE
614881
0
73649
CenturyLink Inc
COM
156700106
3541
283739
SH
DFND
01
283739
0
0
Charles Schwab Corp
COM
808513105
1819
43475
SH
SOLE
43413
0
62
Cheniere Energy Partners LP
COM UNIT
16411Q101
227
5000
SH
SOLE
5000
0
0
Chevron Corp
COM
166764100
6789
57241
SH
SOLE
23491
0
33750
Cigna Corp
COM
125523100
309
2039
SH
SOLE
1638
0
401
Cisco Systems Inc
COM
17275R102
4585
92796
SH
SOLE
44218
0
48578
Citigroup Inc
COM NEW
172967424
503
7275
SH
SOLE
4847
0
2428
Citigroup Inc
COM NEW
172967424
1807
26160
SH
DFND
01
26160
0
0
CME Group Inc/IL
COM
12572q105
244
1156
SH
SOLE
196
0
960
Coca-Cola Co
COM
191216100
3989
73276
SH
SOLE
29509
0
43767
Cohen & Steers Limited Duratio
COM
19248c105
1950
76251
SH
SOLE
65493
0
10758
Cohen & Steers REIT and Prefer
COM
19247x100
214
8681
SH
SOLE
8681
0
0
Colgate-Palmolive Co
COM
194162103
372
5065
SH
SOLE
4869
0
196
Comcast Corp
CL A
20030n101
667
14788
SH
SOLE
10383
0
4405
Compass Minerals International
COM
20451n101
29
511
SH
SOLE
511
0
0
Compass Minerals International
COM
20451n101
259
4590
SH
DFND
01
4590
0
0
ConocoPhillips
COM
20825C104
246
4323
SH
SOLE
2595
0
1728
Consolidated Tomoka Land Co
COM
210226106
51
770
SH
SOLE
770
0
0
Consolidated Tomoka Land Co
COM
210226106
1157
17630
SH
DFND
01
17630
0
0
Consumer Staples Select Sector
SBI CONS STPLS
81369y308
276
4500
SH
SOLE
3800
0
700
Corteva Inc
COM
22052l104
1500
53588
SH
SOLE
8845
0
44743
Costco Wholesale Corp
COM
22160k105
2418
8393
SH
SOLE
7438
0
955
Crown Castle International Cor
COM
22822v101
274
1970
SH
SOLE
493
0
1477
Cushing MLP & Infrastructure T
COM NEW
231631201
112
11168
SH
SOLE
11168
0
0
CVS Health Corp
COM
126650100
765
12127
SH
SOLE
11213
0
914
CVS Health Corp
COM
126650100
240
3800
SH
DFND
01
3800
0
0
Diageo PLC ADR
SPON ADR NEW
25243q205
2810
17184
SH
SOLE
14853
0
2332
DocuSign Inc
COM
256163106
232
3747
SH
SOLE
2106
0
1641
Dominion Energy Inc
COM
25746u109
586
7235
SH
SOLE
7078
0
157
Doubleline Income Solutions Cl
COM
258622109
601
30176
SH
SOLE
18751
0
11425
Doubleline Income Solutions Cl
COM
258622109
800
40170
SH
DFND
01
40170
0
0
Doubleline Opportunistic Credi
COM
258623107
1424
68743
SH
SOLE
67540
0
1203
Doubleline Opportunistic Credi
COM
258623107
1713
82693
SH
DFND
01
82693
0
0
DoubleLine Total Return Tactic
SPDR TR TACTIC
78467v848
656
13331
SH
SOLE
13331
0
0
Dow Inc
COM
260557103
2498
52428
SH
SOLE
10284
0
42144
DuPont de Nemours Inc
COM
26614n102
17180
240915
SH
SOLE
176569
0
64346
Eaton Vance California Municip
SH BEN INT
27826f101
3187
237116
SH
SOLE
215027
0
22089
Eaton Vance Insured CA Municip
COM
27828a100
1170
103225
SH
SOLE
91440
0
11785
Eaton Vance Limited Duration I
COM
27828h105
1219
97503
SH
SOLE
92081
0
5422
Eaton Vance Municipal Bond Fun
COM
27827X101
2288
176516
SH
SOLE
138826
0
37690
Eaton Vance Municipal Incm 202
SHS
27829U105
1158
53434
SH
SOLE
25605
0
27830
Eaton Vance National Muni
COM SHS
27829l105
395
17486
SH
SOLE
11792
0
5694
eBay Inc
COM
278642103
469
12022
SH
SOLE
3970
0
8052
Ecolab Inc
COM
278865100
222
1122
SH
SOLE
800
0
322
Edison International
COM
281020107
361
4785
SH
SOLE
4651
0
134
Edwards Lifesciences Corp
COM
28176e108
1021
4641
SH
SOLE
3225
0
1416
Elanco Animal Health Inc
COM
28414h103
960
36089
SH
SOLE
8331
0
27758
Electronic Arts Inc
COM
285512109
743
7596
SH
SOLE
1683
0
5913
Emerson Electric Co
COM
291011104
666
9955
SH
SOLE
7308
0
2647
Enbridge Inc
COM
29250n105
9636
274699
SH
SOLE
247760
0
26939
Energy Transfer LP
COM UT LTD PTN
29273v100
112
8556
SH
SOLE
8556
0
0
Energy Transfer LP
COM UT LTD PTN
29273v100
222
17000
SH
DFND
01
17000
0
0
Enterprise Products Partners L
COM
293792107
520
18209
SH
SOLE
11413
0
6796
Eros International PLC
SHS NEW
g3788m114
41
21445
SH
SOLE
21445
0
0
Exxon Mobil Corp
COM
30231g102
2956
41861
SH
SOLE
35456
0
6405
Facebook Inc
CL A
30303m102
136824
768330
SH
SOLE
748802
0
19528
Facebook Inc
CL A
30303m102
1716
9635
SH
DFND
01
9635
0
0
Fidelity National Information
COM
31620m106
256
1929
SH
SOLE
641
0
1288
Financial Select Sector SPDR F
SBI INT-FINL
81369y605
220
7846
SH
SOLE
7346
0
500
First Trust Senior Floating Ra
COM
33733u108
411
34258
SH
SOLE
28056
0
6202
Fiserv Inc
COM
337738108
1085
10476
SH
SOLE
3891
0
6585
Flaherty & Crumrine Preferred
COM
338478100
279
13318
SH
SOLE
13318
0
0
Flaherty and Crumrine Dynamic
SHS
33848w106
1505
57674
SH
SOLE
49783
0
7891
FlexShares Morningstar US Mark
MORNSTAR USMKT
33939l100
304
2600
SH
SOLE
2600
0
0
Fox Corp
CL A COM
35137l105
9797
310668
SH
SOLE
277917
0
32751
GAMCO Global Gold Natural Reso
COM SH BEN INT
36465a109
94
21545
SH
SOLE
21545
0
0
Gaming & Leisure Properties
COM
36467j108
37495
980525
SH
SOLE
977655
0
2870
Gap Inc
COM
364760108
248
14296
SH
SOLE
14200
0
96
GCI Liberty Inc
COM CLASS A
36164v305
3
44
SH
SOLE
44
0
0
GCI Liberty Inc
COM CLASS A
36164v305
685
11040
SH
DFND
01
11040
0
0
General Dynamics Corp
COM
369550108
299
1637
SH
SOLE
1592
0
45
General Electric Co
COM
369604103
355
39715
SH
SOLE
26452
0
13263
General Mills Inc
COM
370334104
273
4951
SH
SOLE
4126
0
825
General Motors Co
COM
37045v100
261
6960
SH
SOLE
6800
0
160
Gilead Sciences Inc
COM
375558103
3871
61076
SH
SOLE
58818
0
2258
Glacier Bancorp Inc
COM
37637Q105
393
9724
SH
SOLE
9724
0
0
GlaxoSmithKline PLC
SPONSORED ADR
37733W105
371
8682
SH
SOLE
8000
0
682
Goldman Sachs ActiveBeta Eme
ACTIVEBETA EME
381430206
1085
34590
SH
SOLE
29777
0
4813
Goldman Sachs ActiveBeta Inte
ACTIVEBETA INT
381430107
1527
53991
SH
SOLE
50457
0
3534
Goldman Sachs ActiveBeta U.S.
EQUITY ETF
381430503
2367
39520
SH
SOLE
34065
0
5455
Goldman Sachs Group Inc
COM
38141G104
19669
94916
SH
SOLE
84645
0
10271
Goldman Sachs MLP Income Oppor
COM SHS
38147w103
3952
570283
SH
SOLE
486992
0
83291
Hain Celestial Group Inc/The
COM
405217100
269
12511
SH
SOLE
12500
0
11
Highland/iBoxx Senior Loan ETF
HI LD IBOXX SRLN
430101774
1076
61668
SH
SOLE
56661
0
5007
Home Depot Inc
COM
437076102
2811
12114
SH
SOLE
9946
0
2168
Honeywell International Inc
COM
438516106
4509
26647
SH
SOLE
18997
0
7650
Illumina Inc
COM
452327109
213
701
SH
SOLE
389
0
312
Intel Corp
COM
458140100
1313
25474
SH
SOLE
20411
0
5063
IntercontinentalExchange Inc
COM
45866f104
1425
15441
SH
SOLE
3787
0
11654
International Business Machine
COM
459200101
709
4877
SH
SOLE
3924
0
953
Invesco CEF Income Composite E
CEF INM COMPSI
46138e404
320
14167
SH
SOLE
12241
0
1926
Invesco Dynamic Credit Opportu
COM
46132r104
438
39772
SH
SOLE
33520
0
6252
Invesco Municipal Opportunity
COM
46132c107
168
13455
SH
SOLE
12400
0
1055
Invesco QQQ Trust Series 1
UNIT SER 1
46090e103
811
4296
SH
SOLE
3996
0
300
Invesco Quality Municipal Inco
COM
46133G107
783
61245
SH
SOLE
49613
0
11632
Invesco S&P 500 Equal Weight E
S&P500 EQL WGT
46137v357
759
7020
SH
SOLE
7020
0
0
Invesco Value Municipal Income
COM
46132p108
455
29590
SH
SOLE
24587
0
5003
Invesco Van Kampen CA Value Mu
COM
46132h106
2369
184822
SH
SOLE
169809
0
15013
Invesco Variable Rate Investme
VAR RATE INVT
46090a879
1477
59356
SH
SOLE
53868
0
5488
IQ Enhanced Core Plus Bond US
IQ ENCH COR PL
45409b479
424
21536
SH
SOLE
18600
0
2936
IQ Merger Arbitrage ETF
IQ MRGR ARB ETF
45409b800
772
24101
SH
SOLE
22440
0
1661
IQVIA Holdings Inc
COM
46266c105
21449
143587
SH
SOLE
130140
0
13447
iShares 0-5 Year High Yield Co
0-5YR HI YL CP
46434V407
435
9363
SH
SOLE
9363
0
0
iShares Cohen & Steers Realty
COHEN STEER REIT
464287564
241
2010
SH
SOLE
2010
0
0
iShares Core MSCI EAFE ETF
CORE MSCI EAFE
46432f842
5966
97696
SH
SOLE
86877
0
10819
iShares Core MSCI Emerging M
CORE MSCI EMKT
46434g103
3696
75405
SH
SOLE
75405
0
0
iShares Core S&P Small-Cap ETF
CORE S&P SCP ETF
464287804
253
3249
SH
SOLE
2118
0
1131
iShares Core S&P Total US Stoc
CORE S&P TTL STK
464287150
2811
41905
SH
SOLE
40513
0
1392
iShares Core U.S. Aggregate Bo
CORE US AGGBD ET
464287226
10498
92767
SH
SOLE
88728
0
4039
iShares DJ Select Dividend Ind
SELECT DIVID ETF
464287168
358
3508
SH
SOLE
2958
0
550
iShares Edge MSCI Min Vol EAFE
MIN VOL EAFE ETF
46429b689
437
5963
SH
SOLE
5963
0
0
iShares Edge MSCI Multifactor
MULTIFACTOR USA
46434v282
3915
122636
SH
SOLE
112203
0
10433
iShares Floating Rate Bond Fun
FLTG RATE NT ETF
46429b655
306
6013
SH
SOLE
5613
0
400
iShares Gold Trust
ISHARES
464285105
78501
5567416
SH
SOLE
5071947
0
495469
iShares MSCI EAFE ETF
MSCI EAFE ETF
464287465
739
11329
SH
SOLE
10480
0
849
iShares MSCI KLD 400 Social Id
MSCI KLD400 SOC
464288570
318
2865
SH
SOLE
2865
0
0
iShares Russell 1000 Growth In
RUS 1000 GRW ETF
464287614
508
3185
SH
SOLE
3185
0
0
iShares Russell 1000 Value Ind
RUS 1000 VAL ETF
464287598
424
3304
SH
SOLE
3304
0
0
iShares Russell 2000 Value Ind
RUS 2000 VAL ETF
464287630
697
5834
SH
SOLE
5834
0
0
iShares S&P 500 Index Fund
CORE S&P500 ETF
464287200
12372
41445
SH
SOLE
37724
0
3721
iShares S&P California Municip
CALIF MUN BD ETF
464288356
3520
57439
SH
SOLE
43865
0
13574
iShares S&P S/T Nationall AMT-
SHRT NAT MUN ETF
464288158
418
3926
SH
SOLE
3926
0
0
Jacobs Engineering Group Inc
COM
469814107
506
5531
SH
SOLE
4345
0
1186
Johnson & Johnson
COM
478160104
18928
146297
SH
SOLE
129632
0
16665
JPMorgan Chase & Co
COM
46625h100
23894
203021
SH
SOLE
177630
0
25391
Kayne Anderson Midstream/Energ
COM
48661e108
7080
653714
SH
SOLE
564525
0
89189
Kayne Anderson Midstream/Energ
COM
48661e108
2386
220286
SH
DFND
01
220286
0
0
Kayne Anderson MLP/Midstream I
COM
486606106
13803
954584
SH
SOLE
873333
0
81251
Kinder Morgan Inc
COM
49456B101
1375
66701
SH
SOLE
51773
0
14928
Lam Research Corp
COM
512807108
370
1600
SH
SOLE
1531
0
69
Las Vegas Sands Corp
COM
517834107
2483
42995
SH
SOLE
37271
0
5724
Lennar Corp Cl B
CL B
526057302
13525
304815
SH
SOLE
274903
0
29911
Liberty Broadband Corp Com Cl
COM SER C
530307305
16886
161330
SH
SOLE
146384
0
14946
Liberty Global PLC
SHS CL A
g5480u104
242
9772
SH
DFND
01
9772
0
0
Liberty Global PLC
SHS CL C
g5480u120
685
28802
SH
DFND
01
28802
0
0
Liberty Media Corp Series C
COM SER C FRMLA
531229854
622
14953
SH
SOLE
14625
0
328
Liberty Media Corp-Liberty For
COM SER A FRMLA
531229870
566
14293
SH
SOLE
14293
0
0
Liberty Media Corp-Liberty For
COM SER A FRMLA
531229870
5079
128284
SH
DFND
01
128284
0
0
Linde PLC
COM
g5494j103
15364
79308
SH
SOLE
71784
0
7524
Lockheed Martin Corp
COM
539830109
899
2304
SH
SOLE
1891
0
413
Lowe's Companies Inc
COM
548661107
24416
222048
SH
SOLE
193656
0
28392
Lyft Inc
CL A COM
55087p104
2182
53434
SH
SOLE
48290
0
5144
Macerich Co
COM
554382101
384
12155
SH
SOLE
11425
0
730
Magellan Midstream Partners LP
COM UNIT RP LP
559080106
259
3907
SH
SOLE
3807
0
100
Marathon Oil Corp
COM
565849106
340
27702
SH
SOLE
11305
0
16397
Marathon Petroleum Corp
COM
56585a102
1074
17672
SH
SOLE
1335
0
16337
Martin Marietta Materials Inc
COM
573284106
21325
77800
SH
SOLE
70052
0
7748
Mastercard Inc
CL A
57636q104
32899
121143
SH
SOLE
109732
0
11410
McDermott International Inc
COM
580037703
34
17010
SH
SOLE
17010
0
0
McDonald's Corp
COM
580135101
1810
8432
SH
SOLE
8245
0
187
Medtronic PLC
SHS
g5960l103
31395
289032
SH
SOLE
236269
0
52763
Merck & Co Inc
COM
58933Y105
1296
15397
SH
SOLE
14171
0
1226
MFS Multi-Market
SH BEN INT
552737108
2642
446971
SH
SOLE
414350
0
32620
Microsoft Corp
COM
594918104
174632
1256078
SH
SOLE
1208840
0
47238
Mondelez International Inc
CL A
609207105
512
9263
SH
SOLE
9066
0
197
Motorola Solutions Inc
COM NEW
620076307
1083
6357
SH
SOLE
1519
0
4838
National Oilwell Varco Inc
COM
637071101
232
10948
SH
SOLE
10779
0
169
Netflix Inc
COM
64110l106
933
3487
SH
SOLE
737
0
2750
Neuberger Berman CA Interm Mu
COM
64123c101
1725
123279
SH
SOLE
107969
0
15310
New America High Income Fund
COM NEW
641876800
711
80539
SH
SOLE
71992
0
8547
NextEra Energy Inc
COM
65339F101
670
2876
SH
SOLE
2348
0
528
Nextpoint Residential Trust
COM
65341d102
612
13094
SH
SOLE
0
0
13094
NIKE Inc
CL B
654106103
977
10400
SH
SOLE
6036
0
4364
Norfolk Southern Corp
COM
655844108
227
1266
SH
SOLE
259
0
1007
Nuveen Amt-Free Municipal Inco
COM
670657105
426
29797
SH
SOLE
17844
0
11953
Nuveen Build America Bond Fund
COM
67074c103
2797
125465
SH
SOLE
116756
0
8709
Nuveen Build America Bond Fund
COM
67074c103
1137
50988
SH
DFND
01
50988
0
0
Nuveen CA Muni Value Fund
COM
67062C107
7261
685021
SH
SOLE
609274
0
75747
Nuveen CA Sel Tax Free Income
SH BEN INT
67063r103
957
60850
SH
SOLE
58435
0
2415
Nuveen California AMT-Free Qua
COM
670651108
2466
163072
SH
SOLE
138360
0
24712
Nuveen California Quality Muni
COM
67066y105
5722
381696
SH
SOLE
328930
0
52766
Nuveen Credit Strategies Incom
COM SHS
67073d102
3107
415324
SH
SOLE
406044
0
9279
Nuveen Credit Strategies Incom
COM SHS
67073d102
1629
217750
SH
DFND
01
217750
0
0
Nuveen Enhanced AMT-Free Muni
COM
67071l106
345
20643
SH
SOLE
19243
0
1400
Nuveen Enhanced Municipal Cred
COM SH BEN INT
67070x101
293
18024
SH
SOLE
18024
0
0
Nuveen Intermediate Duration M
COM
670671106
140
10217
SH
SOLE
10217
0
0
Nuveen Intermediate Duration Q
COM
670677103
188
13771
SH
SOLE
13771
0
0
Nuveen Preferred Income Opport
COM
67073b106
661
65819
SH
SOLE
61736
0
4083
Nuveen Quality Municipal Incom
COM
67066v101
253
17617
SH
SOLE
17617
0
0
Nuveen Quality Preferred Incom
COM
67072C105
176
17843
SH
SOLE
13685
0
4158
Nuveen Real Asset Income and G
COM
67074y105
463
26419
SH
SOLE
25979
0
440
Nuveen Senior Income Fund
COM
67067y104
100
17267
SH
SOLE
6757
0
10509
NVIDIA Corp
COM
67066g104
203
1164
SH
SOLE
743
0
421
Oaktree Strategic Income Corp
COM
67402d104
151
18273
SH
SOLE
18273
0
0
Oaktree Strategic Income Corp
COM
67402d104
462
56023
SH
DFND
01
56023
0
0
Occidental Petroleum Corp
COM
674599105
9561
214998
SH
SOLE
192592
0
22406
Oracle Corp
COM
68389X105
625
11356
SH
SOLE
4710
0
6646
O'Reilly Automotive Inc
COM
67103H107
18973
47609
SH
SOLE
43088
0
4521
Oxford Square Capital Corp
COM
69181v107
107
17126
SH
SOLE
17126
0
0
PACCAR Inc
COM
693718108
283
4044
SH
SOLE
4000
0
44
Packaging Corp of America
COM
695156109
373
3517
SH
SOLE
0
0
3517
Paychex Inc
COM
704326107
209
2523
SH
SOLE
956
0
1567
PayPal Holdings Inc
COM
70450y103
612
5906
SH
SOLE
2461
0
3445
PCM Fund Inc
COM
69323T101
2445
219869
SH
SOLE
202072
0
17797
PepsiCo Inc
COM
713448108
1623
11836
SH
SOLE
9169
0
2667
Pfizer Inc
COM
717081103
27847
775028
SH
SOLE
615482
0
159546
Pfizer Inc
COM
717081103
230
6400
SH
DFND
01
6400
0
0
Philip Morris International In
COM
718172109
19566
257685
SH
SOLE
235723
0
21962
Philip Morris International In
COM
718172109
1235
16270
SH
DFND
01
16270
0
0
Phillips 66
COM
718546104
663
6474
SH
SOLE
1623
0
4851
PICO Holdings Inc
COM NEW
693366205
2259
343511
SH
SOLE
274803
0
68708
PICO Holdings Inc
COM NEW
693366205
6580
652122
SH
DFND
01
652122
0
0
PIMCO Active Bond ETF
ACTIVE BD ETF
72201r775
360
3309
SH
SOLE
3309
0
0
PIMCO Corporate & Income Oppor
COM
72201b101
270
14896
SH
SOLE
11242
0
3654
PIMCO Dynamic Credit and Mortg
COM SHS
72202d106
4089
167016
SH
SOLE
150493
0
16523
PIMCO Dynamic Credit and Mortg
COM SHS
72202d106
655
26750
SH
DFND
01
26750
0
0
PIMCO Dynamic Income Fund
SHS
72201y101
482
14827
SH
SOLE
13380
0
1447
PIMCO Energy & Tactical Credit
COM SHS BEN INT
69346n107
13371
763620
SH
SOLE
687014
0
76606
PIMCO Enhanced Short Maturity
ENHAN SHRT MA AC
72201r833
1709
16797
SH
SOLE
16797
0
0
PIMCO Income Strategy Fund
COM
72201h108
155
13580
SH
SOLE
12230
0
1350
PIMCO Income Strategy Fund II
COM
72201j104
914
88451
SH
SOLE
84056
0
4395
PIMCO Municipal Income Fund II
COM
72200w106
482
30591
SH
SOLE
30591
0
0
PIMCO Municipal Income Fund II
COM
72201a103
306
23979
SH
SOLE
23979
0
0
PNC Financial Services Group I
COM
693475105
312
2224
SH
SOLE
2129
0
95
Point Bridge Gop Stock Tracker
POINT BRIDGE GOP
26922a628
6777
247000
SH
SOLE
247000
0
0
Procter & Gamble Co
COM
742718109
2185
17564
SH
SOLE
15065
0
2499
Prospect Capital Corp
COM
74348t102
85
12947
SH
SOLE
12947
0
0
QUALCOMM Inc
COM
747525103
13074
171391
SH
SOLE
154082
0
17308
QUALCOMM Inc
COM
747525103
229
3000
SH
DFND
01
3000
0
0
Raytheon Co
COM NEW
755111507
809
4126
SH
SOLE
1876
0
2250
Reading International Inc
CL A
755408101
347
29000
SH
DFND
01
29000
0
0
Realty Income Corp
COM
756109104
405
5287
SH
SOLE
3914
0
1373
Reaves Utility Income Fund
COM SH BEN INT
756158101
609
16599
SH
SOLE
15820
0
779
Republic Services Inc
COM
760759100
513
5924
SH
SOLE
5454
0
470
Retail Opportunity Investments
COM
76131n101
20662
1133400
SH
SOLE
1025516
0
107884
Retail Opportunity Investments
COM
76131n101
940
51571
SH
DFND
01
51571
0
0
Rexford Industrial Realty Inc
COM
76169C100
14797
336136
SH
SOLE
278135
0
58001
RiverNorth/DoubleLine Strategi
COM
76882G107
285
16350
SH
SOLE
16350
0
0
RiverNorth/DoubleLine Strategi
COM
76882G107
497
28550
SH
DFND
01
28550
0
0
RLI Corp
COM
749607107
296
3183
SH
SOLE
3183
0
0
RLJ Lodging Trust Pfd 1.95 Co
CUM CONV PFD A
74965l200
730
27052
SH
SOLE
22780
0
4272
Robert Half International Inc
COM
770323103
1821
32709
SH
SOLE
0
0
32709
Rockwell Automation Inc
COM
773903109
447
2714
SH
SOLE
2708
0
6
Royal Dutch Shell PLC
SPON ADR B
780259107
255
4250
SH
SOLE
4250
0
0
Royal Dutch Shell PLC
SPONS ADR A
780259206
334
5670
SH
SOLE
5426
0
244
Royce Micro Capital Trust Inc
COM
780915104
783
97416
SH
SOLE
82593
0
14823
S&P Global Inc
COM
78409v104
1698
6930
SH
SOLE
1566
0
5364
Sabre Corp
COM
78573m104
693
30961
SH
SOLE
6741
0
24220
salesforce.com Inc
COM
79466l302
7268
48962
SH
SOLE
42706
0
6256
Schlumberger Ltd
COM
806857108
385
11267
SH
SOLE
10759
0
508
Schwab Int'l Large Cap Equity - E
INTL EQTY ETF
808524805
394
12359
SH
SOLE
12359
0
0
Schwab U.S. Large-Cap Value ET
US LCAP VA ETF
808524409
328
5773
SH
SOLE
5773
0
0
Sempra Energy
COM
816851109
759
5140
SH
SOLE
5108
0
32
Sherwin-Williams Co/The
COM
824348106
223
406
SH
SOLE
400
0
6
Skyworks Solutions Inc
COM
83088m102
1319
16637
SH
SOLE
3678
0
12959
Snap Inc
CL A
83304a106
1958
123934
SH
SOLE
0
0
123934
Sony Corp ADR
SPONSORED ADR
835699307
14299
241821
SH
SOLE
219720
0
22101
Sony Corp ADR
SPONSORED ADR
835699307
1913
32345
SH
DFND
01
32345
0
0
Southwest Airlines Co
COM
844741108
11779
218097
SH
SOLE
194871
0
23226
SPDR Gold Trust
GOLD SHS
78463v107
522
3761
SH
SOLE
3761
0
0
SPDR Portfolio Mid Cap ETF
PORTFOLIO MD ETF
78464A847
1120
33052
SH
SOLE
33052
0
0
SPDR Portfolio World ex- US ETF
PORTFOLIO DEVLPD
78463x889
364
12382
SH
SOLE
12382
0
0
SPDR S&P 500 ETF Unit Trust
TR UNIT
78462f103
13687
46121
SH
SOLE
42778
0
3343
SPDR S&P Dividend ETF
S&P DIVID ETF
78464A763
248
2418
SH
SOLE
2418
0
0
SPDR S&P Global Infrastructure
S&P GBLINF ETF
78463x855
2550
47767
SH
SOLE
44168
0
3599
Starbucks Corp
COM
855244109
2399
27129
SH
SOLE
24769
0
2360
Starwood Property Trust Inc
COM
85571b105
15231
628876
SH
SOLE
572946
0
55930
Sterling Bancorp
COM
85917a100
2894
144266
SH
SOLE
143816
0
450
Sysco Corp
COM
871829107
509
6409
SH
SOLE
5556
0
853
Tandy Leather Factory Inc
COM
87538X105
245
52269
SH
SOLE
51620
0
649
Tanzanian Gold Corp
COM
87601a107
93
117371
SH
SOLE
117371
0
0
Target Corp
COM
87612e106
478
4475
SH
SOLE
4348
0
127
TCW Strategic Income Fund Inc
COM
872340104
6259
1101894
SH
SOLE
1018905
0
82989
TCW Strategic Income Fund Inc
COM
872340104
226
39710
SH
DFND
01
39710
0
0
Telefonaktiebolaget LM Ericsso
ADR B SEK 10
294821608
95
11962
SH
SOLE
11962
0
0
Tesla Motors Inc
COM
88160r101
310
1285
SH
SOLE
740
0
545
Texas Instruments Inc
COM
882508104
11589
89673
SH
SOLE
79311
0
10362
Thermo Fisher Scientific Inc
COM
883556102
268
919
SH
SOLE
228
0
691
TJX Companies Inc
COM
872540109
449
8064
SH
SOLE
7076
0
988
Tortoise Energy Infrastructure
COM
89147l100
7114
347896
SH
SOLE
310118
0
37779
Tortoise North American Pipeli
TORTOISE NRAM PI
56167n720
378
16160
SH
SOLE
16160
0
0
Uber Technologies Inc
COM
90353t100
2364
77584
SH
SOLE
70007
0
7577
Unilever PLC
SPON ADR NEW
904767704
15820
263229
SH
SOLE
237413
0
25816
Union Pacific Corp
COM
907818108
522
3223
SH
SOLE
3058
0
165
United Parcel Service Inc
CL B
911312106
37401
312145
SH
SOLE
297011
0
15134
United Technologies Corp
COM
913017109
552
4041
SH
SOLE
3914
0
127
UnitedHealth Group Inc
COM
91324p102
6527
30033
SH
SOLE
27291
0
2743
US Bancorp
COM NEW
902973304
277
5004
SH
SOLE
2495
0
2509
VanEck Vectors Short High-Yiel
SHORT HIGH YIELD
92189f387
586
23279
SH
SOLE
23279
0
0
Vanguard FTSE Emerging Marke
FTSE EMR MKT ETF
922042858
630
15639
SH
SOLE
1965
0
13674
Vanguard Growth ETF
GROWTH ETF
922908736
268
1611
SH
SOLE
1321
0
290
Vanguard Large-Cap ETF
LARGE CAP ETF
922908637
212
1555
SH
SOLE
1555
0
0
Vanguard Mid Cap ETF
MID CAP ETF
922908629
3902
23283
SH
SOLE
23283
0
0
Vanguard Mortgage-Backed Secur
MORTG-BACK SEC
92206c771
780
14643
SH
SOLE
13577
0
1066
Vanguard REIT ETF
REAL ESTATE ETF
922908553
2254
24173
SH
SOLE
22369
0
1804
Vanguard S&P 500 ETF
S&P 500 ETF SHS
922908363
5504
20189
SH
SOLE
20189
0
0
Vanguard S&P Small-Cap 600 ETF
SMLLCP 600 IDX
921932828
1869
13106
SH
SOLE
13106
0
0
Vanguard Short Term Corporate
SHRT TRM CORP BD
92206c409
536
6616
SH
SOLE
6616
0
0
Vanguard Total Stock Market ET
TOTAL STK MKT
922908769
266
1759
SH
SOLE
1759
0
0
Vereit Inc
COM
92339v100
74881
7656517
SH
SOLE
6790055
0
866462
Vereit Inc
COM
92339v100
1843
188499
SH
DFND
01
188499
0
0
Verizon Communications Inc
COM
92343v104
1094
18125
SH
SOLE
12539
0
5586
Visa Inc
COM CL A
92826C839
17381
101046
SH
SOLE
89278
0
11769
Vornado Realty Trust
SH BEN INT
929042109
268
4216
SH
SOLE
310
0
3906
Vulcan Materials Co
COM
929160109
1820
12036
SH
SOLE
2836
0
9200
Walgreens Boots Alliance Inc
COM
931427108
243
4396
SH
SOLE
3143
0
1253
Wal-Mart Stores Inc
COM
931142103
678
5714
SH
SOLE
4716
0
998
Walt Disney Co
COM DISNEY
254687106
47905
367597
SH
SOLE
325275
0
42322
Walt Disney Co
COM DISNEY
254687106
1207
9260
SH
DFND
01
9260
0
0
Wells Fargo & Co
COM
949746101
947
18775
SH
SOLE
18230
0
545
Wells Fargo & Co
COM
949746101
179
3540
SH
DFND
01
3540
0
0
Wells Fargo & Co New Perp Pfd
PERP PFD CNV A
949746804
4761
3127
SH
SOLE
2970
0
157
Wells Fargo Multi-Sector Incom
COM
94987D101
461
37350
SH
SOLE
31696
0
5654
Western Asset Mortgage Capital
COM
95790d105
116
12000
SH
SOLE
12000
0
0
Western Asset/Claymore US Trea
COM
95766r104
150
13553
SH
SOLE
13553
0
0
Williams Companies Inc
COM
969457100
132
5478
SH
SOLE
5356
0
122
Williams Companies Inc
COM
969457100
230
9575
SH
DFND
01
9575
0
0
WisdomTree China ex-State-Owned Enterprises Fund
CHINADIV EX FI
97717x719
217
3055
SH
SOLE
3055
0
0
Woodward Inc
COM
980745103
647
6001
SH
SOLE
6000
0
1