0001086763-13-000018.txt : 20130809
0001086763-13-000018.hdr.sgml : 20130809
20130809131537
ACCESSION NUMBER: 0001086763-13-000018
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20130630
FILED AS OF DATE: 20130809
DATE AS OF CHANGE: 20130809
EFFECTIVENESS DATE: 20130809
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: 131025638
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
06-30-2013
06-30-2013
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
08-09-2013
0
141
510610
INFORMATION TABLE
2
infotable.xml
3M Co
COM
88579y101
254
2323
SH
SOLE
2323
0
0
AbbeVie Inc.
COM
00287y109
207
4998
SH
SOLE
4998
0
0
Aberdeen Asia Pacific Income F
COM
003009107
123
19833
SH
SOLE
16133
0
3700
Altria Group Inc
COM
02209s103
11132
318136
SH
SOLE
281672
0
36465
American Express Co
COM
025816109
8850
118372
SH
SOLE
105477
0
12895
Amgen Inc
COM
031162100
237
2407
SH
SOLE
2407
0
0
Anheuser-Busch InBev NV
SPONSORED ADR
03524A108
15191
168302
SH
SOLE
146514
0
21788
Annaly Capital Management Inc
COM
035710409
184
14647
SH
SOLE
14647
0
0
Aon PLC
SHS CL A
G0408V102
17253
268104
SH
SOLE
232886
0
35219
Apple Inc
COM
037833100
2737
6902
SH
SOLE
6710
0
192
AT&T Inc
COM
00206r102
1372
38751
SH
SOLE
37051
0
1700
Automatic Data Processing Inc
COM
053015103
209
3041
SH
SOLE
3041
0
0
Bank of America Corp
COM
060505104
197
15285
SH
SOLE
15285
0
0
Bank of New York Mellon Corp/T
COM
064058100
12370
440981
SH
SOLE
387277
0
53704
Berkshire Hathaway CL A
CL A
084670108
2360
14
SH
SOLE
14
0
0
Berkshire Hathaway Inc Cl B
CLN NEW
084670702
18570
165923
SH
SOLE
144230
0
21693
Blackrock Build America Bond T
SHS
09248x100
427
21117
SH
SOLE
13564
0
7553
BlackRock Credit Allocation In
COM
092508100
172
13244
SH
SOLE
13244
0
0
Blackrock Floating Rate Income
COM
091941104
194
12908
SH
SOLE
12908
0
0
BlackRock Inc
COM
09247X101
12996
50598
SH
SOLE
44391
0
6206
Blackrock Ltd Duration
COM SHS
09249w101
247
14018
SH
SOLE
9818
0
4200
Boeing Co/The
COM
097023105
12527
122291
SH
SOLE
106424
0
15867
British American Tobacco PLC
SPONSORED ADR
110448107
9033
87753
SH
SOLE
78426
0
9327
Broadcom Corp
CL A
111320107
1009
29858
SH
SOLE
29858
0
0
Brown Foreman Corp Class B Wit
CL B
115637209
501
7423
SH
SOLE
7423
0
0
Calamos Strategic Total Return
COM SH BEN INT
128125101
174
17116
SH
SOLE
5615
0
11501
Canadian Natural Resources Ltd
COM
136385101
8135
287857
SH
SOLE
246432
0
41425
Caterpillar Inc
COM
149123101
290
3511
SH
SOLE
3511
0
0
CenturyLink Inc
COM
156700106
1150
32529
SH
SOLE
30529
0
2000
Chevron Corp
COM
166764100
2988
25250
SH
SOLE
25250
0
0
Chimera Investment Corp
COM
16934Q109
30
10000
SH
SOLE
10000
0
0
Cia de Bebidas das Americas
SPONSORED ADR
20441w203
919
24611
SH
SOLE
23291
0
1320
Cisco Systems Inc
COM
17275r102
449
18463
SH
SOLE
16635
0
1828
Citigroup Inc
COM NEW
172967424
367
7656
SH
SOLE
7656
0
0
Coca-Cola Co/The
COM
191216100
708
17646
SH
SOLE
17646
0
0
Colgate-Palmolive Co
COM
194162103
444
7754
SH
SOLE
7754
0
0
Colony Financial Inc
COM
19624r106
1034
52000
SH
SOLE
50500
0
1500
Comstock Mining Inc
COM
205750102
23
14163
SH
SOLE
14163
0
0
ConocoPhillips
COM
20825c104
262
4332
SH
SOLE
4332
0
0
Consumer Stpls Sel Sectr SPDR
SBI CONS STPLS
81369y308
259
6530
SH
SOLE
6530
0
0
Devon Energy Corp
COM
25179M103
5492
105866
SH
SOLE
91941
0
13925
Diageo PLC
SPON ADR NEW
25243Q205
15156
131846
SH
SOLE
111430
0
20416
Dominion Resources Inc/VA
COM
25746U109
397
6990
SH
SOLE
6190
0
800
DoubleLine Opportunistic Credi
COM
258623107
1819
72625
SH
SOLE
58440
0
14185
Eaton Vance Limited Duration I
COM
27828h105
240
15042
SH
SOLE
10542
0
4500
Eaton Vance Tax-Managed Global
COM
27829f108
569
61412
SH
SOLE
59355
0
2057
EI du Pont de Nemours & Co
COM
263534109
250
4753
SH
SOLE
4753
0
0
Eldorado Gold Corp
COM
284902103
70
11330
SH
SOLE
11330
0
0
Eli Lilly & Co
COM
532457108
464
9440
SH
SOLE
9440
0
0
Emerson Electric Co
COM
291011104
310
5678
SH
SOLE
5678
0
0
Enterprise Products Partners LP
COM
293792107
1950
31382
SH
SOLE
30082
0
1300
Exxon Mobil Corp
COM
30231G102
2803
31024
SH
SOLE
31024
0
0
Facebook Inc
CL A
30303m102
303
12160
SH
SOLE
12160
0
0
Flaherty And Crumine/Claymore
COM
338478100
517
27565
SH
SOLE
26467
0
1098
Frontier Communications Corp
COM
35906a108
101
25000
SH
SOLE
25000
0
0
General Dynamics Corp
COM
369550108
12184
155541
SH
SOLE
134369
0
21172
General Electric Co
COM
369604103
536
23100
SH
SOLE
17559
0
5542
GlaxoSmithKline PLC
SPONSORED ADR
37733W105
11522
230569
SH
SOLE
203605
0
26964
Goldman Sachs Group Inc/The
COM
38141G104
12111
80073
SH
SOLE
70023
0
10050
Halliburton Co
COM
406216101
358
8587
SH
SOLE
8587
0
0
Home Depot Inc/The
COM
437076102
431
5561
SH
SOLE
5561
0
0
Illinois Tool Works Inc
COM
452308109
306
4421
SH
SOLE
4421
0
0
ING Clarion Global Real Estate
COM
12504g100
126
13931
SH
SOLE
8731
0
5200
Intel Corp
COM
458140100
717
29591
SH
SOLE
29591
0
0
Interactive Brokers Group Inc
COM
45841n107
758
47466
SH
SOLE
46057
0
1409
International Business Machine
COM
459200101
18416
96363
SH
SOLE
83074
0
13289
Invesco Van Kampen CA Value Mu
COM
46132h106
194
16072
SH
SOLE
16072
0
0
iShares Barclays Tips Bond
BARCLYS TIPS BD
464287176
1114
9943
SH
SOLE
0
0
9943
iShares Core S&P Total US Stoc
CORE S&P TTL STK
464287150
215
2941
SH
SOLE
2540
0
401
iShares MSCI Eafe Index Fund
MSCI EAFE IDX
464287465
765
13351
SH
SOLE
8033
0
5318
iShares Silver Trusts
ISHARES
46428Q109
251
13230
SH
SOLE
13230
0
0
Johnson & Johnson
COM
478160104
23624
275147
SH
SOLE
244126
0
31021
JPMorgan Chase & Co
COM
46625h100
293
5542
SH
SOLE
5542
0
0
Kinder Morgan Energy LP Unit Ltd Part Int
UT LTD PARTNER
494550106
268
3142
SH
SOLE
2542
0
600
Level 3 Communications Inc
COM NEW
52729n308
421
19987
SH
SOLE
16028
0
3959
Lockheed Martin Corp
COM
539830109
506
4663
SH
SOLE
4663
0
0
Magellan Midstream Partners LP559080106
COM UNIT RP LP
559080106
489
8972
SH
SOLE
8972
0
0
McDonald's Corp
COM
580135101
679
6856
SH
SOLE
6856
0
0
Merck & Co Inc
COM
58933y105
230
4948
SH
SOLE
4948
0
0
Microsoft Corp
COM
594918104
17992
520827
SH
SOLE
453164
0
67664
Mondelez International Inc
CL A
609207105
10193
357277
SH
SOLE
310527
0
46750
National Oilwell Varco Inc
COM
637071101
744
10803
SH
SOLE
10803
0
0
Nordstrom Inc
COM
655664100
300
5000
SH
SOLE
5000
0
0
Novartis AG
SPONSORED ADR
66987v109
17318
244913
SH
SOLE
212762
0
32151
Nucor Corp
COM
670346105
619
14279
SH
SOLE
14279
0
0
Nuveen Build America Bond Fund
COM
67074c103
433
22371
SH
SOLE
14831
0
7540
Nuveen Multi-Strategy Inc & Gr
COM
67073b106
316
33113
SH
SOLE
21216
0
11897
Nuveen Multi-Strategy Inc & Gr
COM SHS
67073d102
192
19174
SH
SOLE
0
0
19174
Nuveen Municipal Value Fund
COM
670928100
140
14674
SH
SOLE
14674
0
0
Nuveen Quality Preferred Incom
COM
67072c105
92
10582
SH
SOLE
10582
0
0
Oaktree Capital Group LLC
UNIT 99/99/9999
674001201
812
15450
SH
SOLE
15450
0
0
Occidental Petroleum Corp
COM
674599105
11158
125046
SH
SOLE
107822
0
17224
Oracle Corp
COM
68389x105
525
17094
SH
SOLE
13488
0
3606
PCM Fund Inc
COM
69323T101
9109
776548
SH
SOLE
704333
0
72215
PepsiCo Inc
COM
713448108
15497
189470
SH
SOLE
162318
0
27152
Pfizer Inc
COM
717081103
3280
117094
SH
SOLE
27094
0
90000
Philip Morris International In
COM
718172109
19354
223433
SH
SOLE
198687
0
24746
Pimco CA Municipal Income Fund
COM
72201c109
1607
158467
SH
SOLE
158467
0
0
Pimco Corporate Opportunity Fu
COM
72201b101
415
21247
SH
SOLE
15771
0
5476
PIMCO Income Fund
COM
72201y101
3340
114182
SH
SOLE
83189
0
30993
Pimco Income Strategy Fund
COM
72201H108
457
38209
SH
SOLE
37667
0
542
Pimco Income Strategy Fund II
COM
72201j104
6662
633306
SH
SOLE
563101
0
70205
Plains All American Pipeline Unit LP
UNIT LTD PARTN
726503105
319
5722
SH
SOLE
5722
0
0
Potash Corp of Saskatchewan In
COM
73755L107
8207
215237
SH
SOLE
184525
0
30712
Procter & Gamble Co/The
COM
742718109
377
4902
SH
SOLE
3074
0
1828
Public Storage
COM
74460d109
408
2661
SH
SOLE
2661
0
0
QUALCOMM Inc
COM
747525103
18913
309596
SH
SOLE
113577
0
196019
Realty Income Corp
COM
756109104
1342
32022
SH
SOLE
30178
0
1844
Regency Centers Corp
COM
758849103
572
11250
SH
SOLE
11250
0
0
Republic Services Inc
COM
760759100
17099
503807
SH
SOLE
432920
0
70887
Retail Opportunity Investments
COM
76131n101
1537
110550
SH
SOLE
106550
0
4000
Royal Dutch Shell PLC - ADR A
SPONS ADR A
780259206
365
5726
SH
SOLE
5726
0
0
Rubicon Minerals Corp
COM
780911103
18
14000
SH
SOLE
14000
0
0
Safeway Inc
COM NEW
786514208
243
10263
SH
SOLE
0
0
10263
Schlumberger Ltd
COM
806857108
487
6802
SH
SOLE
6802
0
0
Source Capital Inc
COM
836144105
639
10357
SH
SOLE
10015
0
342
Southwest Airlines Co
COM
844741108
146
11313
SH
SOLE
9198
0
2115
SPDR BarCap ST High Yield Bond
CAP S/T HI YLD
78468r408
1071
35492
SH
SOLE
35492
0
0
SPDR Gold Trust
GOLD SHS
78463v107
956
8023
SH
SOLE
7923
0
100
SPDR S&P 500 ETF Trust
TR UNIT
78462F103
1899
11837
SH
SOLE
8651
0
3186
Starbucks Corp
COM
855244109
331
5047
SH
SOLE
4562
0
485
Starwood Property Trust Inc
COM
85571b105
1854
74900
SH
SOLE
71400
0
3500
Suncor Energy Inc
COM
867224107
5433
184246
SH
SOLE
160315
0
23931
Teva Pharmaceutical Industries
ADR
881624209
11454
292188
SH
SOLE
257455
0
34733
TICC Capital Corp
COM
87244t109
97
10126
SH
SOLE
10126
0
0
TJX Cos Inc
COM
872540109
10648
212702
SH
SOLE
185900
0
26802
Total SA
SPONSORED ADR
89151E109
614
12600
SH
SOLE
12600
0
0
Travelers Cos Inc/The
COM
89417e109
217
2711
SH
SOLE
2711
0
0
TSW Strategic Income Fund Inc
COM
872340104
494
89198
SH
SOLE
69696
0
19502
United Parcel Service Inc
CL B
911312106
18521
214167
SH
SOLE
185725
0
28442
United Technologies Corp
COM
913017109
426
4586
SH
SOLE
4586
0
0
US Bancorp
COM NEW
902973304
451
12478
SH
SOLE
12478
0
0
Vanguard Short Term Corporate
SHRT TRM CORP BD
92206c409
208
2627
SH
SOLE
2627
0
0
Ventas Inc
COM
92276f100
630
9074
SH
SOLE
9074
0
0
Verizon Communications Inc
COM
92343v104
359
7129
SH
SOLE
7129
0
0
Walt Disney Co/The
COM DISNEY
254687106
10041
159003
SH
SOLE
135156
0
23847
Wells Fargo & Co
COM
949746101
9396
227669
SH
SOLE
201592
0
26077
Wells Fargo Multi-Sector Incom
COM SHS
94987D101
238
16211
SH
SOLE
16211
0
0
Western Asset Emerging Markets
COM
95766a101
217
11790
SH
SOLE
11790
0
0
Willis Group Holdings PLC
SHS
g96666105
615
15074
SH
SOLE
14614
0
460
World Wrestling Entertainment
CL A
98156q108
674
65383
SH
SOLE
63281
0
2102