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