0001086763-23-000005.txt : 20230214 0001086763-23-000005.hdr.sgml : 20230214 20230214131015 ACCESSION NUMBER: 0001086763-23-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230214 DATE AS OF CHANGE: 20230214 EFFECTIVENESS DATE: 20230214 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: 23626165 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 X0202 13F-HR LIVE false false false 0001086763 XXXXXXXX 12-31-2022 12-31-2022 false FIRST FOUNDATION ADVISORS

18101 Von Karman Avenue Ste 700 Irvine CA 92612

13F HOLDINGS REPORT 028-05785 N GREGORY S. BRUCE 949-622-3724 GREGORY S. 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LAM RESEARCH CORP COM 512807108 1052431 2504 SH SOLE 1992 0 512 LAUDER ESTEE COS INC CL A 518439104 2523136 10169 SH SOLE 8213 0 1956 LENNAR CORP CL B 526057302 1268878 16968 SH SOLE 16499 0 469 LIBERTY MEDIA CORP DEL COM SER A FRMLA 531229870 4174486 78130 SH DFND 1 78130 0 0 LIBERTY MEDIA CORP DEL COM SER A FRMLA 531229870 9767164 182803 SH SOLE 167330 0 15473 LILLY ELI & CO COM 532457108 1382456 3779 SH SOLE 2258 0 1521 LINDE PLC SHS G5494J103 16334197 50077 SH SOLE 46533 0 3544 LISTED FD TR HORIZON KINETICS 53656F623 779197 24752 SH SOLE 23183 0 1569 LOCKHEED MARTIN CORP COM 539830109 1823365 3748 SH SOLE 3365 0 383 LOWES COS INC COM 548661107 24064888 120783 SH SOLE 111739 0 9045 LULULEMON ATHLETICA INC COM 550021109 2357676 7359 SH SOLE 6787 0 572 LUMINAR TECHNOLOGIES INC COM CL A 550424105 249153 50334 SH SOLE 0 0 50334 MADISON SQUARE GRDN ENTERTNM CL A 55826T102 5163051 114811 SH DFND 1 114811 0 0 MADISON SQUARE GRDN ENTERTNM CL A 55826T102 114314 2542 SH SOLE 2541 0 1 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 260878 5196 SH SOLE 5196 0 0 MARSH & MCLENNAN COS INC COM 571748102 312923 1891 SH SOLE 777 0 1114 MARTIN MARIETTA MATLS INC COM 573284106 1791241 5300 SH SOLE 5249 0 51 MASTERCARD INCORPORATED CL A 57636Q104 41382139 119007 SH SOLE 108530 0 10476 MATTERPORT INC COM CL A 577096100 58453 20876 SH SOLE 0 0 20876 MCDONALDS CORP COM 580135101 4130761 15675 SH SOLE 14845 0 830 MCKESSON CORP COM 58155Q103 367994 981 SH SOLE 677 0 304 MEDTRONIC PLC SHS G5960L103 3930922 50578 SH SOLE 45409 0 5169 MERCK & CO INC COM 58933Y105 4147086 37378 SH SOLE 32429 0 4949 META PLATFORMS INC CL A 30303M102 24620601 204592 SH SOLE 198072 0 6520 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 51378 11392 SH SOLE 11392 0 0 MGM RESORTS INTERNATIONAL COM 552953101 2072154 61800 SH DFND 1 61800 0 0 MGM RESORTS INTERNATIONAL COM 552953101 10869605 324176 SH SOLE 288648 0 35528 MICROCHIP TECHNOLOGY INC. COM 595017104 363971 5181 SH SOLE 119 0 5062 MICROSOFT CORP COM 594918104 294686918 1228784 SH SOLE 1183410 0 45374 MONDELEZ INTL INC CL A 609207105 1034541 15522 SH SOLE 13035 0 2487 MONSTER BEVERAGE CORP NEW COM 61174X109 214330 2111 SH SOLE 1174 0 937 MOODYS CORP COM 615369105 240170 862 SH SOLE 340 0 522 MORGAN STANLEY COM NEW 617446448 497255 5849 SH SOLE 4434 0 1415 NETFLIX INC COM 64110L106 893192 3029 SH SOLE 2046 0 983 NEUBERGER BRMAN CLIFRN MUNI COM 64123C101 187005 16550 SH SOLE 6247 0 10303 NEXPOINT DIVERSIFIED REL ET COM NEW 65340G205 461480 41167 SH SOLE 40036 0 1131 NEXPOINT RESIDENTIAL TR INC COM 65341D102 1020562 23450 SH SOLE 25 0 23425 NEXTERA ENERGY INC COM 65339F101 1411839 16888 SH SOLE 14065 0 2823 NIKE INC CL B 654106103 1445659 12355 SH SOLE 8946 0 3409 NORFOLK SOUTHN CORP COM 655844108 359034 1457 SH SOLE 757 0 700 NORTHROP GRUMMAN CORP COM 666807102 719660 1319 SH SOLE 648 0 671 NOV INC COM 62955J103 302571 14484 SH SOLE 10658 0 3826 NOVARTIS AG SPONSORED ADR 66987V109 446342 4920 SH SOLE 4362 0 558 NOVO-NORDISK A S ADR 670100205 456637 3374 SH SOLE 3013 0 361 NUSHARES ETF TR NUVEEN ESG MIDCP 67092P409 252912 7185 SH SOLE 7185 0 0 NUSHARES ETF TR NUVEEN ESG MIDVL 67092P508 246895 8299 SH SOLE 8299 0 0 NUSHARES ETF TR NUVEEN ESG SMLCP 67092P607 434223 12704 SH SOLE 12704 0 0 NUVEEN AMT FREE MUN CR INC F COM 67071L106 251447 20712 SH SOLE 18172 0 2540 NUVEEN AMT FREE QLTY MUN INC COM 670657105 291231 25614 SH SOLE 14084 0 11530 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 1008063 91063 SH SOLE 76276 0 14787 NUVEEN CALIFORNIA MUNI VLU F COM STK 67062C107 1116042 132076 SH SOLE 120008 0 12068 NUVEEN CR STRATEGIES INCOME COM SHS 67073D102 77877 15300 SH SOLE 15300 0 0 NUVEEN MUN HIGH INCOME OPPOR COM 670682103 103400 10000 SH SOLE 10000 0 0 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 121398 10049 SH SOLE 10049 0 0 NVIDIA CORPORATION COM 67066G104 4186161 28645 SH SOLE 22913 0 5732 OAKTREE SPECIALTY LENDING CO COM 67401P108 266948 38857 SH SOLE 38857 0 0 OLD DOMINION FREIGHT LINE IN COM 679580100 275834 972 SH SOLE 395 0 577 ONEOK INC NEW COM 682680103 267005 4064 SH SOLE 3536 0 528 ORACLE CORP COM 68389X105 931164 11392 SH SOLE 5666 0 5726 OREILLY AUTOMOTIVE INC COM 67103H107 230420 273 SH SOLE 138 0 135 ORION OFFICE REIT INC COM 68629Y103 6200 726 SH DFND 1 726 0 0 ORION OFFICE REIT INC COM 68629Y103 161937 18962 SH SOLE 14715 0 4247 OTIS WORLDWIDE CORP COM 68902V107 221069 2823 SH SOLE 954 0 1869 PACCAR INC COM 693718108 454074 4588 SH SOLE 4094 0 494 PACWEST BANCORP DEL COM 695263103 392261 17092 SH SOLE 17022 0 70 PARKER-HANNIFIN CORP COM 701094104 10786745 37068 SH SOLE 33334 0 3734 PAYCHEX INC COM 704326107 274224 2373 SH SOLE 1762 0 611 PAYPAL HLDGS INC COM 70450Y103 472260 6631 SH SOLE 4088 0 2543 PCM FD INC COM 69323T101 192384 24445 SH SOLE 23738 0 707 PEPSICO INC COM 713448108 2608067 14436 SH SOLE 9887 0 4549 PFIZER INC COM 717081103 7287277 142219 SH SOLE 135373 0 6846 PGIM HIGH YIELD BOND FUND IN COM 69346H100 303825 25596 SH DFND 1 25596 0 0 PGIM HIGH YIELD BOND FUND IN COM 69346H100 24523 2066 SH SOLE 2066 0 0 PHILIP MORRIS INTL INC COM 718172109 2135531 21100 SH DFND 1 21100 0 0 PHILIP MORRIS INTL INC COM 718172109 33408140 330087 SH SOLE 312364 0 17723 PHILLIPS 66 COM 718546104 1081726 10393 SH SOLE 9605 0 788 PHILLIPS EDISON & CO INC COMMON STOCK 71844V201 7887482 247722 SH SOLE 218110 0 29613 PIMCO CALIF MUN INCOME FD II COM 72200M108 86647 12761 SH SOLE 12761 0 0 PIMCO DYNAMIC INCOME FD SHS 72201Y101 641515 34714 SH DFND 1 34714 0 0 PIMCO DYNAMIC INCOME FD SHS 72201Y101 1506559 81524 SH SOLE 76261 0 5263 PIMCO DYNAMIC INCOME OPRNTS COM BEN SHS 69355M107 1723248 134945 SH DFND 1 134945 0 0 PIMCO DYNAMIC INCOME OPRNTS COM BEN SHS 69355M107 158693 12427 SH SOLE 12427 0 0 PIMCO ENERGY & TACTICAL CR O COM SHS BEN INT 69346N107 1528624 102318 SH SOLE 79843 0 22475 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 476489 4830 SH SOLE 4792 0 38 PIMCO INCOME STRATEGY FD II COM 72201J104 185372 26219 SH SOLE 25745 0 474 PLUG POWER INC COM NEW 72919P202 131110 10599 SH SOLE 10599 0 0 PNC FINL SVCS GROUP INC COM 693475105 800440 5068 SH SOLE 4240 0 828 PPG INDS INC COM 693506107 332097 2641 SH SOLE 2003 0 638 PROCTER AND GAMBLE CO COM 742718109 3067248 20238 SH SOLE 15043 0 5195 PROGRESSIVE CORP COM 743315103 206239 1590 SH SOLE 526 0 1064 PROLOGIS INC. COM 74340W103 812445 7207 SH SOLE 5589 0 1618 PROSHARES TR PSHS ULT S&P 500 74347R107 723068 16267 SH SOLE 16267 0 0 PROSHARES TR PSHS ULTRA O&G 74347G705 784678 18463 SH SOLE 18463 0 0 PROSHARES TR PSHS ULTRA QQQ 74347R206 392763 11209 SH SOLE 11209 0 0 PUBLIC STORAGE COM 74460D109 572708 2044 SH SOLE 1945 0 99 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 48000 15000 SH SOLE 15000 0 0 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 60349 16625 SH SOLE 16625 0 0 QUALCOMM INC COM 747525103 17658047 160615 SH SOLE 128712 0 31904 RAYTHEON TECHNOLOGIES CORP COM 75513e101 3920145 38844 SH SOLE 32043 0 6801 READY CAPITAL CORP COM 75574U101 6855937 615434 SH SOLE 526182 0 89253 REALTY INCOME CORP COM 756109104 21566815 340010 SH SOLE 298766 0 41244 REGENERON PHARMACEUTICALS COM 75886F107 2381638 3301 SH SOLE 3124 0 177 RENTOKIL INITIAL PLC SPONSORED ADR 760125104 947777 30762 SH DFND 1 30762 0 0 RENTOKIL INITIAL PLC SPONSORED ADR 760125104 10608499 344320 SH SOLE 316978 0 27342 REPUBLIC SVCS INC COM 760759100 364010 2822 SH SOLE 2320 0 502 RETAIL OPPORTUNITY INVTS COR COM 76131N101 413325 27500 SH SOLE 21484 0 6016 REXFORD INDL RLTY INC COM 76169C100 14942458 273471 SH SOLE 239657 0 33814 RIVERNORTH DOUBLELINE STRATE COM 76882G107 843245 97148 SH DFND 1 97148 0 0 RIVERNORTH DOUBLELINE STRATE COM 76882G107 71445 8231 SH SOLE 8231 0 0 RLI CORP COM 749607107 363360 2768 SH SOLE 2751 0 17 ROCKWELL AUTOMATION INC COM 773903109 1454755 5648 SH SOLE 4406 0 1242 S&P GLOBAL INC COM 78409V104 2528837 7550 SH SOLE 5161 0 2389 SALESFORCE INC COM 79466L302 670640 5058 SH SOLE 2537 0 2521 SCHWAB CHARLES CORP COM 808513105 28124690 337794 SH SOLE 320223 0 17570 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 395076 16691 SH SOLE 2071 0 14620 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 228143 7083 SH SOLE 7035 0 48 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 202912 3797 SH SOLE 3797 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 1372903 18175 SH SOLE 18175 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 451057 8118 SH SOLE 8014 0 104 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 2159537 47830 SH SOLE 47830 0 0 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 1286180 26801 SH SOLE 25060 0 1741 SELECT SECTOR SPDR TR ENERGY 81369Y506 407434 4658 SH SOLE 4475 0 183 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 843343 24659 SH SOLE 24659 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 373035 10101 SH SOLE 481 0 9620 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 458260 3548 SH SOLE 3548 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 639622 5140 SH SOLE 4740 0 400 SEMPRA COM 816851109 694039 4491 SH SOLE 4090 0 401 SERVICENOW INC COM 81762P102 1823704 4697 SH SOLE 3906 0 791 SHELL PLC SPON ADS 780259305 335151 5885 SH SOLE 5548 0 337 SHERWIN WILLIAMS CO COM 824348106 797298 3359 SH SOLE 3049 0 310 SHOCKWAVE MED INC COM 82489T104 228638 1112 SH SOLE 1007 0 105 SONY GROUP CORPORATION SPONSORED ADR 835699307 3475622 45564 SH SOLE 44286 0 1278 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 208407 629 SH SOLE 629 0 0 SPDR GOLD TR GOLD SHS 78463V107 1335745 7874 SH SOLE 7874 0 0 SPDR INDEX SHS FDS S&P GBLINF ETF 78463X855 618153 11792 SH SOLE 10917 0 875 SPDR S&P 500 ETF TR TR UNIT 78462F103 11108497 29047 SH SOLE 28450 0 597 SPDR SER TR S&P DIVID ETF 78464A763 340925 2725 SH SOLE 2725 0 0 SSGA ACTIVE ETF TR BLACKSTONE SENR 78467V608 425641 10407 SH SOLE 9936 0 471 SSGA ACTIVE ETF TR GLOBL ALLO ETF 78467V400 10802844 287616 SH SOLE 256982 0 30633 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 497737 12431 SH SOLE 12431 0 0 STARBUCKS CORP COM 855244109 3338159 33651 SH SOLE 31925 0 1726 STARWOOD PPTY TR INC COM 85571B105 1044505 56983 SH SOLE 56983 0 0 STRYKER CORPORATION COM 863667101 467220 1911 SH SOLE 913 0 998 SUNCOR ENERGY INC NEW COM 867224107 3322766 104720 SH DFND 1 104720 0 0 SUNCOR ENERGY INC NEW COM 867224107 12278176 386958 SH SOLE 368754 0 18204 SYNOPSYS INC COM 871607107 490749 1537 SH SOLE 1094 0 443 SYSCO CORP COM 871829107 509539 6665 SH SOLE 5221 0 1444 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 1179624 15836 SH SOLE 14599 0 1237 TANDY LEATHER FACTORY INC COM 87538X105 2392212 560237 SH DFND 1 560237 0 0 TANDY LEATHER FACTORY INC COM 87538X105 1137157 266313 SH SOLE 149005 0 117308 TARGET CORP COM 87612e106 1033997 6938 SH SOLE 5308 0 1630 TCW STRATEGIC INCOME FD INC COM 872340104 310991 67314 SH SOLE 65493 0 1821 TESLA INC COM 88160R101 1186100 9629 SH SOLE 7670 0 1959 TEXAS INSTRS INC COM 882508104 15854748 95961 SH SOLE 87254 0 8707 TEXAS PACIFIC LAND CORPORATI COM 88262P102 19843695 8465 SH SOLE 7953 0 511 THE NECESSITY RETAIL REIT IN COM CLASS A 02607T109 153113 25820 SH SOLE 25805 0 15 THE REAL BROKERAGE INC COM NEW 75585H206 10500 10000 SH SOLE 10000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 911392 1655 SH SOLE 1104 0 551 TIDEWATER INC NEW COM 88642R109 1187565 32227 SH DFND 1 32227 0 0 TJX COS INC NEW COM 872540109 8537885 107260 SH SOLE 100361 0 6898 TRUIST FINL CORP COM 89832Q109 210217 4885 SH SOLE 3457 0 1428 TRX GOLD CORPORATION COM 87283P109 39707 117371 SH SOLE 117371 0 0 UBER TECHNOLOGIES INC COM 90353T100 12473033 504369 SH SOLE 471483 0 32886 UNION PAC CORP COM 907818108 1067653 5156 SH SOLE 4426 0 730 UNITED PARCEL SERVICE INC CL B 911312106 64102534 368744 SH SOLE 366857 0 1887 UNITEDHEALTH GROUP INC COM 91324P102 31130739 58717 SH SOLE 51473 0 7244 US BANCORP DEL COM NEW 902973304 326714 7492 SH SOLE 2657 0 4835 VANECK ETF TRUST MRNGSTR WDE MOAT 92189F643 29519480 454776 SH SOLE 409986 0 44789 VANECK ETF TRUST SHRT HGH YLD MUN 92189F387 508016 22812 SH SOLE 21153 0 1659 VANGUARD ADMIRAL FDS INC SMLLCP 600 IDX 921932828 1591506 9183 SH SOLE 9183 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 522806 2453 SH SOLE 2416 0 37 VANGUARD INDEX FDS MID CAP ETF 922908629 3170265 15555 SH SOLE 15555 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 3830059 46436 SH SOLE 44355 0 2082 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 8066237 22958 SH SOLE 22816 0 142 VANGUARD INDEX FDS SM CP VAL ETF 922908611 205964 1297 SH SOLE 1297 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1717727 8984 SH SOLE 8984 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 552894 14184 SH SOLE 4924 0 9260 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 321692 3129 SH SOLE 1 0 3128 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 655366 7604 SH SOLE 7604 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 267104 3446 SH SOLE 3367 0 80 VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 92206C771 259871 5709 SH SOLE 4258 0 1451 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 316926 4215 SH SOLE 4215 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 264523 1742 SH SOLE 1742 0 0 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 374805 8930 SH SOLE 8930 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 839609 21310 SH SOLE 15066 0 6244 VERTEX PHARMACEUTICALS INC COM 92532F100 243153 842 SH SOLE 379 0 463 VISA INC COM CL A 92826C839 7622634 36690 SH SOLE 30258 0 6432 WALGREENS BOOTS ALLIANCE INC COM 931427108 448320 12000 SH DFND 1 12000 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 172327 4613 SH SOLE 3718 0 895 WALMART INC COM 931142103 1442809 10176 SH SOLE 7363 0 2813 WARNER BROS DISCOVERY INC COM SER A 934423104 106157 11198 SH SOLE 8591 0 2607 WASTE MGMT INC DEL COM 94106L109 495378 3158 SH SOLE 2332 0 826 WEBSTER FINL CORP COM 947890109 1805832 38146 SH SOLE 37872 0 274 WELLS FARGO CO NEW COM 949746101 771097 18675 SH SOLE 12906 0 5769 WELLS FARGO CO NEW PERP PFD CNV A 949746804 3680610 3106 SH SOLE 3088 0 18 WESTERN ASSET DIVERSIFIED IN COM SHS BEN INT 95790K109 130391 10267 SH SOLE 3200 0 7067 WILLIAMS COS INC COM 969457100 324098 9851 SH SOLE 8662 0 1189 WISDOMTREE TR YIELD ENHANCD US 97717X511 3863147 90578 SH SOLE 86441 0 4137 XCEL ENERGY INC COM 98389B100 1168453 16666 SH SOLE 15315 0 1351 YUM BRANDS INC COM 988498101 704983 5504 SH SOLE 5352 0 152 ZOETIS INC CL A 98978V103 435987 2975 SH SOLE 1091 0 1884