CHIEF COMPLIANCE OFFICER

0001086763-20-000006.txt : 20200211 0001086763-20-000006.hdr.sgml : 20200211 20200211172934 ACCESSION NUMBER: 0001086763-20-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200211 DATE AS OF CHANGE: 20200211 EFFECTIVENESS DATE: 20200211 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: 20598229 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 12-31-2019 12-31-2019 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 02-11-2020 1 388 2021051 01 0001167365 028-10659 HIGHLAND CAPITAL MANAGEMENT LP INFORMATION TABLE 2 infotable.xml 3M Co Com COM 88579Y101 588 3333 SH SOLE 3295 0 38 Abbott Laboratories COM 002824100 690 7948 SH SOLE 4317 0 3631 AbbVie Inc COM 00287y109 546 6164 SH SOLE 3991 0 2173 Aberdeen Asia Pacific Income F COM 003009107 103 24213 SH SOLE 24213 0 0 Accenture PLC SHS CLASS A g1151c101 572 2715 SH SOLE 1395 0 1320 Activision Blizzard Inc COM 00507v109 417 7018 SH SOLE 2398 0 4620 Adobe Systems Inc COM 00724f101 201 610 SH SOLE 449 0 161 AK Steel Holding Corp COM 001547108 43 13000 SH SOLE 13000 0 0 Alerian MLP ETF ALERIAN MLP 00162q866 2354 276921 SH SOLE 249335 0 27586 Alexandria Real Estate Equitie COM 015271109 5684 35178 SH SOLE 33470 0 1708 Alibaba Group Holding Inc SPONSORED ADS 01609w102 1441 6792 SH SOLE 4136 0 2656 Align Technology Inc COM 016255101 9061 32471 SH SOLE 28964 0 3507 Allergan PLC SHS g0177j108 837 4378 SH SOLE 4283 0 95 Alphabet Inc Class A CAP 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6939 61752 SH SOLE 60378 0 1374 iShares DJ Select Dividend Ind SELECT DIVID ETF 464287168 433 4099 SH SOLE 3549 0 550 iShares Edge MSCI Min Vol EAFE ETF MIN VOL EAFE ETF 46429b689 444 5963 SH SOLE 5963 0 0 iShares Edge MSCI Multifactor MULTIFACTOR USA 46434v282 4670 135438 SH SOLE 125005 0 10433 iShares Floating Rate Bond Fun FLTG RATE NT ETF 46429b655 306 6013 SH SOLE 5613 0 400 iShares Gold Trust ISHARES 464285105 70565 4866566 SH SOLE 4442055 0 424511 iShares MSCI EAFE ETF MSCI EAFE ETF 464287465 800 11522 SH SOLE 10673 0 849 iShares MSCI KLD 400 Social Id MSCI KLD400 SOC 464288570 249 2071 SH SOLE 2071 0 0 iShares Russell 1000 Growth In RUS 1000 GRW ETF 464287614 1052 5981 SH SOLE 3666 0 2315 iShares Russell 1000 Value Ind RUS 1000 VAL ETF 464287598 894 6549 SH SOLE 3719 0 2830 iShares Russell 2000 Value Ind RUS 2000 VAL ETF 464287630 742 5769 SH SOLE 5769 0 0 iShares S&P 500 Index Fund CORE S&P500 ETF 464287200 23357 72258 SH SOLE 62251 0 10007 iShares S&P California Municip CALIF 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Energy & Tactical Credit COM SHS BEN INT 69346n107 10820 655786 SH SOLE 590345 0 65441 PIMCO Enhanced Short Maturity ENHAN SHRT MA AC 72201r833 2761 27181 SH SOLE 27181 0 0 PIMCO Income Strategy Fund II COM 72201j104 865 81663 SH SOLE 77268 0 4395 PIMCO Municipal Income Fund II COM 72200w106 485 30591 SH SOLE 30591 0 0 PNC Financial Services Group I COM 693475105 294 1844 SH SOLE 1746 0 98 Point Bridge Gop Stock Tracker POINT BRIDGE GOP 26922a628 7096 247000 SH SOLE 247000 0 0 Procter & Gamble Co COM 742718109 2286 18300 SH SOLE 15212 0 3088 Prospect Capital Corp COM 74348t102 83 12947 SH SOLE 12947 0 0 QUALCOMM Inc COM 747525103 14569 165130 SH SOLE 146397 0 18733 QUALCOMM Inc COM 747525103 176 2000 SH DFND 01 2000 0 0 Raytheon Co COM NEW 755111507 937 4266 SH SOLE 2016 0 2250 Reading International Inc CL A 755408101 325 29000 SH DFND 01 29000 0 0 Realty Income Corp COM 756109104 373 5071 SH SOLE 3397 0 1674 Reaves Utility Income Fund COM SH BEN INT 756158101 601 16225 SH SOLE 15446 0 779 Republic Services Inc COM 760759100 410 4573 SH SOLE 4103 0 470 Retail Opportunity Investments COM 76131n101 15900 900332 SH SOLE 820389 0 79943 Retail Opportunity Investments COM 76131n101 504 28536 SH DFND 01 28536 0 0 Rexford Industrial Realty Inc COM 76169C100 14844 325025 SH SOLE 267338 0 57687 RiverNorth/DoubleLine Strategi COM 76882G107 625 38019 SH SOLE 38019 0 0 RiverNorth/DoubleLine Strategi COM 76882G107 1593 96975 SH DFND 01 96975 0 0 RLI Corp COM 749607107 287 3183 SH SOLE 3183 0 0 RLJ Lodging Trust Pfd 1.95 Co CUM CONV PFD A 74965l200 742 25835 SH SOLE 21657 0 4178 Robert Half International Inc COM 770323103 694 10993 SH SOLE 0 0 10993 Rockwell Automation Inc COM 773903109 736 3630 SH SOLE 3262 0 368 Royal Dutch Shell PLC SPON ADR B 780259107 258 4300 SH SOLE 4300 0 0 Royce Micro Capital Trust Inc COM 780915104 761 89159 SH SOLE 74775 0 14384 S&P Global Inc COM 78409v104 1892 6930 SH SOLE 1566 0 5364 Sabre Corp COM 78573m104 445 19840 SH SOLE 5270 0 14570 salesforce.com Inc COM 79466l302 22628 139127 SH SOLE 124461 0 14666 Schwab Int'l Large Cap Equity - ETF INTL EQTY ETF 808524805 519 15420 SH SOLE 15420 0 0 Schwab Large Cap Blend - ETF US LRG CAP ETF 808524201 310 4035 SH SOLE 4035 0 0 Schwab U.S. Large-Cap Value ET US LCAP VA ETF 808524409 372 6193 SH SOLE 6193 0 0 Sempra Energy COM 816851109 779 5140 SH SOLE 5108 0 32 Sherwin-Williams Co/The COM 824348106 237 406 SH SOLE 400 0 6 Skyworks Solutions Inc COM 83088m102 2040 16879 SH SOLE 3920 0 12959 Snap Inc CL A 83304a106 2024 123934 SH SOLE 0 0 123934 Sony Corp ADR SPONSORED ADR 835699307 13720 201759 SH SOLE 183453 0 18305 Sony Corp ADR SPONSORED ADR 835699307 2199 32345 SH DFND 01 32345 0 0 Southwest Airlines Co COM 844741108 12427 230223 SH SOLE 203494 0 26729 SPDR Gold Trust GOLD SHS 78463v107 9692 67826 SH SOLE 61260 0 6566 SPDR Portfolio Mid Cap ETF PORTFOLIO MD ETF 78464A847 1197 33052 SH SOLE 33052 0 0 SPDR Portfolio World ex- US ETF PORTFOLIO DEVLPD 78463X889 388 12382 SH SOLE 12382 0 0 SPDR S&P 500 ETF Unit Trust TR UNIT 78462f103 17310 53782 SH SOLE 48514 0 5268 SPDR S&P Dividend ETF S&P DIVID ETF 78464A763 260 2420 SH SOLE 2420 0 0 SPDR S&P Global Infrastructure S&P GBLINF ETF 78463x855 2782 50541 SH SOLE 46984 0 3557 Starbucks Corp COM 855244109 2437 27715 SH SOLE 24507 0 3208 Starwood Property Trust Inc COM 85571b105 15888 639099 SH SOLE 584563 0 54536 Sterling Bancorp COM 85917a100 3041 144266 SH SOLE 143816 0 450 Sysco Corp COM 871829107 557 6509 SH SOLE 5556 0 953 Tandy Leather Factory Inc COM 87538X105 388 67871 SH SOLE 66677 0 1194 Tandy Leather Factory Inc COM 87538X105 57 10046 SH DFND 01 10046 0 0 Tanzanian Gold Corp COM 87601a107 72 117371 SH SOLE 117371 0 0 Target Corp COM 87612e106 527 4113 SH SOLE 3480 0 633 TCW Strategic Income Fund Inc COM 872340104 5952 1031519 SH SOLE 953149 0 78370 TCW Strategic Income Fund Inc COM 872340104 229 39710 SH DFND 01 39710 0 0 Technology Select Sector SPDR TECHNOLOGY 81369y803 205 2234 SH SOLE 2234 0 0 Tesla Motors Inc COM 88160r101 784 1875 SH SOLE 1600 0 275 Texas Instruments Inc COM 882508104 11741 91520 SH SOLE 81348 0 10172 Thermo Fisher Scientific Inc COM 883556102 324 998 SH SOLE 303 0 695 Tidewater Inc COM 88642r109 211 10930 SH DFND 01 10930 0 0 TJX Companies Inc COM 872540109 522 8545 SH SOLE 7551 0 994 Tortoise Energy Infrastructure COM 89147l100 4033 224933 SH SOLE 200521 0 24412 Tortoise North American Pipeli TORTOISE NRAM PI 56167n720 380 16160 SH SOLE 16160 0 0 Uber Technologies Inc COM 90353t100 5965 200577 SH SOLE 181227 0 19350 Unilever PLC SPON ADR NEW 904767704 15277 267226 SH SOLE 241360 0 25867 Union Pacific Corp COM 907818108 514 2844 SH SOLE 2674 0 170 United Parcel Service Inc CL B 911312106 36551 312242 SH SOLE 297075 0 15167 United Technologies Corp COM 913017109 553 3691 SH SOLE 3465 0 226 UnitedHealth Group Inc COM 91324p102 13056 44413 SH SOLE 40443 0 3970 US Bancorp COM NEW 902973304 300 5057 SH SOLE 2559 0 2498 VanEck Vectors Short High-Yiel SHORT HIGH YIELD 92189f387 587 23282 SH SOLE 23282 0 0 Vanguard FTSE Emerging Markets ETF FTSE EMR MKT ETF 922042858 793 17840 SH SOLE 1841 0 15999 Vanguard Growth ETF GROWTH ETF 922908736 370 2031 SH SOLE 1741 0 290 Vanguard Mid Cap ETF MID CAP ETF 922908629 3417 19176 SH SOLE 19176 0 0 Vanguard Mortgage-Backed Secur MORTG-BACK SEC 92206c771 1633 30717 SH SOLE 29642 0 1075 Vanguard REIT ETF REAL ESTATE ETF 922908553 4809 51822 SH SOLE 49001 0 2821 Vanguard S&P 500 ETF S&P 500 ETF SHS 922908363 6023 20363 SH SOLE 20363 0 0 Vanguard S&P Small-Cap 600 ETF SMLLCP 600 IDX 921932828 1994 13106 SH SOLE 13106 0 0 Vanguard Short Term Corporate SHRT TRM CORP BD 92206c409 516 6369 SH SOLE 6369 0 0 Vanguard Total Stock Market ET TOTAL STK MKT 922908769 267 1633 SH SOLE 1633 0 0 Vereit Inc COM 92339V100 72531 7849662 SH SOLE 6969583 0 880079 Verizon Communications Inc COM 92343v104 1336 21757 SH SOLE 16131 0 5627 Visa Inc COM CL A 92826C839 19615 104392 SH SOLE 92126 0 12266 Voya Prime Rate Trust SH BEN INT 92913a100 658 131387 SH SOLE 129410 0 1977 Vulcan Materials Co COM 929160109 1733 12036 SH SOLE 2836 0 9200 Wal-Mart Stores Inc COM 931142103 730 6142 SH SOLE 4791 0 1351 Walt Disney Co COM DISNEY 254687106 55964 386945 SH SOLE 343852 0 43093 Walt Disney Co COM DISNEY 254687106 1339 9260 SH DFND 01 9260 0 0 Wells Fargo & Co COM 949746101 899 16715 SH SOLE 16130 0 585 Wells Fargo & Co COM 949746101 127 2360 SH DFND 01 2360 0 0 Wells Fargo & Co New Perp Pfd PERP PFD CNV A 949746804 4470 3083 SH SOLE 2929 0 153 Wells Fargo Multi-Sector Incom COM 94987D101 424 32942 SH SOLE 27420 0 5522 Western Asset Mortgage Capital COM 95790d105 155 15000 SH SOLE 15000 0 0 Western Asset/Claymore US Trea COM 95766r104 156 13553 SH SOLE 13553 0 0 Williams Companies Inc COM 969457100 133 5613 SH SOLE 5356 0 257 Williams Companies Inc COM 969457100 151 6385 SH DFND 01 6385 0 0 WisdomTree China ex-State-Owned Enterprises Fund CHINADIV EX FI 97717X719 254 3055 SH SOLE 3055 0 0 Woodward Inc COM 980745103 713 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