0001086763-11-000008.txt : 20111115 0001086763-11-000008.hdr.sgml : 20111115 20111114213657 ACCESSION NUMBER: 0001086763-11-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111115 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111115 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: 111205410 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 inftable13f0911.txt 13F-HR FOR 09-30-2011 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: September 30, 2011 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 November 14, 2011 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: 117 Form 13F Information Table Value Total: $361979 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M Company COM 88579y101 6618 92184 SH SOLE 82111 10072 Abbott Laboratories COM 002824100 349 6822 SH SOLE 6822 Aberdeen Asia Pacific Inc Fd COM 003009107 74 10700 SH SOLE 10700 Accenture Ltd Cl A SHS CLASS A G1151C101 8192 155499 SH SOLE 136926 18573 Alpine Total Dynamic Divid F COM SBI 021060108 118 26130 SH SOLE 26130 Altria Group Inc COM 02209s103 11420 425946 SH SOLE 379476 46470 Amercian Express COM 025816109 639 14232 SH SOLE 12732 1500 Amgen COM 031162100 236 4290 SH SOLE 4290 Anheuser-Busch Inbev SA/NV SPONSORED ADR 03524a108 8740 164961 SH SOLE 146758 18203 AON Corp COM 037389103 10317 245768 SH SOLE 220546 25221 Apple Computer COM 037833100 1722 4515 SH SOLE 4290 225 Applied Materials Inc COM 038222105 6602 637581 SH SOLE 552141 85441 Archer-Daniels Midland COM 039483102 7517 302968 SH SOLE 269392 33576 Arrowhead Research Corp COM 042797100 8 20000 SH SOLE 20000 AT&T COM 00206r102 957 33551 SH SOLE 30851 2700 Bank of America Corp COM 060505104 141 23000 SH SOLE 20000 3000 Bank of New York Mellon COM 064058100 7860 422833 SH SOLE 381655 41178 Baxter International COM 071813109 9441 168165 SH SOLE 148874 19291 Berkshire Hathaway Inc Cl A CL A 084670108 1602 15 SH SOLE 15 Berkshire Hathaway Inc Cl B CL B 084670207 7628 107383 SH SOLE 95684 11699 Blackrock Build America Bond T SHS 09248x100 228 11290 SH SOLE 5730 5560 Blackrock Floating Rate Inc S COM 09255x100 5055 397068 SH SOLE 370291 26777 Blackrock Floating Rate Inc T COM 091941104 253 20000 SH SOLE 0 20000 Blackrock Inc COM 09247x101 9340 63106 SH SOLE 56270 6836 Boeing COM 097023105 203 3356 SH SOLE 3356 Brown Foreman Corp Cl B CL B 115637209 347 4949 SH SOLE 4949 Calamos Strategic Total Ret COM SH BEN INT 128125101 220 27677 SH SOLE 11041 16636 Canadian Natural Resources COM 136385101 7099 242529 SH SOLE 213680 28849 Capstead Mtg Corp COM NO PAR 14067e506 173 15000 SH SOLE 15000 Caterpillar COM 149123101 8103 109742 SH SOLE 97485 12257 Chevron Corp COM 166764100 2359 25480 SH SOLE 25480 Chimera Investment Corp COM 16934q109 28 10000 SH SOLE 10000 Cisco Systems Inc. COM 17275r102 409 26401 SH SOLE 23345 3056 Coca Cola COM 191216100 426 6299 SH SOLE 6299 Colgate Palmolive COM 194162103 316 3566 SH SOLE 3566 ConocoPhillips COM 20825c104 278 4389 SH SOLE 4389 CVS Corp. COM 126650100 9913 295104 SH SOLE 258487 36617 Diageo ADR SPON ADR NEW 25243q205 8759 115361 SH SOLE 100517 14844 Disney Walt Co COM DISNEY 254687106 4698 155754 SH SOLE 138616 17138 Dominion Resources VA COM 25746u109 305 6000 SH SOLE 6000 Eaton Vance Limited Dur Inc FD COM 27828h105 166 11302 SH SOLE 4518 6784 Edison International COM 281020107 205 5356 SH SOLE 5356 Edward Life Sciences COM 28176e108 309 4330 SH SOLE 4330 Eli Lilly & Co. COM 532457108 340 9191 SH SOLE 9191 Emerson Electric COM 291011104 212 5126 SH SOLE 5126 Enterprise Partners LP COM 293792107 327 8150 SH SOLE 8150 Exelon Corporation COM 30161n101 267 6265 SH SOLE 5515 750 Exxon Mobil Corp COM 30231g102 8747 120426 SH SOLE 108652 11774 Frontier Communications COM 35906a108 155 25395 SH SOLE 25395 General Dynamics COM 369550108 7361 129391 SH SOLE 115388 14003 General Electric Company COM 369604103 815 53548 SH SOLE 52299 1249 Goldman Sachs Group Inv COM 38141g104 7201 76164 SH SOLE 68717 7447 Home Depot Inc COM 437076102 7872 239483 SH SOLE 205950 33533 Int'l Business Machines Corp COM 459200101 14756 84380 SH SOLE 74506 9875 Intel Corp COM 458140100 233 10925 SH SOLE 10925 iShares Barclays Tips Bond BARCLYS TIPS BD 464287176 1105 9672 SH SOLE 120 9552 iShares iBox $ Invest Grade C IBOXX INV CPBD 464287242 322 2870 SH SOLE 2157 713 iShares MSCI Eafe Index Fund MSCI EAFE IDX 464287465 543 11365 SH SOLE 10516 849 Johnson & Johnson COM 478160104 10683 167740 SH SOLE 139546 28194 Kinder Morgan Energy LP Unit UT LTD PARTNER 494550106 418 6116 SH SOLE 5516 600 Kraft Foods Inc A COM 50075n104 260 7735 SH SOLE 7732 3 Level 3 Communications COM 52729n100 119 80090 SH SOLE 57750 22340 Liberty All Star Equity Fund SH BEN INT 530158104 152 36963 SH SOLE 36963 Limelight Networks Inc COM 53261m104 34 14329 SH SOLE 11620 2709 Lockheed Martin Corp COM 539830109 7848 108033 SH SOLE 96643 11390 McDonalds Corporation COM 580135101 739 8411 SH SOLE 8411 MFA Financial Inc COM 55272x102 70 10000 SH SOLE 10000 Microsoft Corp. COM 594918104 10910 438327 SH SOLE 390188 48139 Morgan Stanley COM NEW 617446448 205 15142 SH SOLE 15142 Motricity COM 620107102 116 68771 SH SOLE 68771 National Oilwell Varco Inc COM 637071101 555 10826 SH SOLE 10826 Neuberger Berman CA Int Muni FDCOM 64123c101 237 15900 SH SOLE 10600 5300 Neuberger Berman Real Estate S COM 64190a103 35 10000 SH SOLE 10000 Nuveen Build Amercia Bond Fd COM 67074c103 475 23799 SH SOLE 10951 12848 Nuveen CA Muni Value Fund COM 67062c107 4771 527232 SH SOLE 479394 47838 Nuveen Multi-Strategy Inc & Gr COM 67073b106 190 25329 SH SOLE 13432 11897 Nuveen Multi-Strategy Inc & G2 COM SHS 67073d102 151 19174 SH SOLE 3710 15464 Nuveen Municipal Value Fund COM 670928100 126 12900 SH SOLE 12900 Nuveen Sel Tax Free Inc II SH BEN INT 67063c106 1101 84818 SH SOLE 64418 20400 Occidental Petroleum COM 674599105 7445 104124 SH SOLE 92461 11662 Oculus Innovative Sciences Inc COM 67575p108 51 33778 SH SOLE 33778 Office Max Inc COM 67622m108 53 11000 SH SOLE 11000 Oracle Corp COM 68389x105 366 12724 SH SOLE 12724 Paramount Gold & Silver Corp COM 69924p102 38 16000 SH SOLE 16000 PCM Fund Inc COM 69323t101 9469 937531 SH SOLE 852908 84623 Pepsico Inc COM 713448108 7559 122111 SH SOLE 109367 12743 Pfizer Inc. COM 717081103 689 38986 SH SOLE 38691 295 Phillip Morris International COM 718172109 9182 147192 SH SOLE 134163 13028 Pimco CA Muncipal Income Fund COM 72200n106 138 10466 SH SOLE 10466 Pimco CA Muni Income Fund III COM 72201c109 1810 189948 SH SOLE 161448 28500 Pimco Income Strategy Fund COM 72201h108 556 55443 SH SOLE 46601 8842 Pimco Income Strategy Fund II COM 72201j104 5331 607823 SH SOLE 560376 47448 Powershares Emerging Mkts Debt SOVEREIGN DEBT 73936T573 320 12218 SH SOLE 12218 Premierwest Bancorp COM NEW 740921200 36 39886 SH SOLE 39886 Proctor & Gamble Co COM 742718109 516 8172 SH SOLE 8170 2 Public Storage COM 74460d109 291 2611 SH SOLE 2611 Qualcomm Inc COM 747525103 12243 251759 SH SOLE 116389 135370 Republic Services Inc. COM 760759100 12162 433439 SH SOLE 382168 51272 Royal Bank of Scotland 7.25% T SP ADR PREF T 780097713 147 12200 SH SOLE 12200 S&P Dep Receipts Trust Ser I UNIT SER I 78462f103 1019 9009 SH SOLE 8326 683 Schlumberger Ltd COM 806857108 1346 22539 SH SOLE 22539 SPDR Barclays Capital High Yld BRCLYS YLD ETF 78464A417 240 6630 SH SOLE 6630 SPDR Gold Trust GOLD SHS 78463v107 800 5060 SH SOLE 5060 Suncor Energy Inc COM 867224107 3622 142381 SH SOLE 125519 16862 Teva Pharmeceutical ADR 881624209 4139 111213 SH SOLE 100239 10974 Thermo Fisher Scientific COM 883556102 7523 148564 SH SOLE 131852 16712 TJX Companies Inc. COM 872540109 4390 79138 SH SOLE 70602 8536 Total S A Spon ADR SPONSORED ADR 89151E109 676 15411 SH SOLE 15411 TSW Strategic Income Fund Inc COM 872340104 126 25207 SH SOLE 5705 19502 United Parcel Service CL B CL B 911312106 8443 133690 SH SOLE 120381 13309 United Technologies Corp COM 913017109 318 4514 SH SOLE 4514 UnitedHealth Group Inc COM 91324p102 405 8790 SH SOLE 8790 Wal Mart Stores Inc COM 931142103 239 4602 SH SOLE 4602 Wellpoint Health Networks COM 94973v107 8899 136316 SH SOLE 120933 15383 Wells Fargo Multi-Sect Inc FD COM SHS 94987d101 5765 405700 SH SOLE 346662 59038 Western Asset Inter Muni Fund COM 958435109 148 15600 SH SOLE 15600 Western Union Co COM 959802109 6655 435261 SH SOLE 370476 64785