0001086763-14-000002.txt : 20140214
0001086763-14-000002.hdr.sgml : 20140214
20140213201529
ACCESSION NUMBER: 0001086763-14-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20131231
FILED AS OF DATE: 20140214
DATE AS OF CHANGE: 20140213
EFFECTIVENESS DATE: 20140214
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: 14609021
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
12-31-2013
12-31-2013
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
02-13-2014
0
196
743402
INFORMATION TABLE
2
infotable.xml
3M Co
COM
88579y101
701
4996
SH
SOLE
4916
0
80
AbbeVie Inc.
COM
00287y109
293
5543
SH
SOLE
5543
0
0
Abbott Laboratories
COM
002824100
255
6653
SH
SOLE
6496
0
157
Alaska Communications Systems
COM
01167P101
161
76000
SH
SOLE
76000
0
0
Allergan Inc/United States
COM
018490102
226
2038
SH
SOLE
2038
0
0
Alpine Total Dynamic Dividend
COM SBI
021060108
431
102958
SH
SOLE
98795
0
4163
Altria Group Inc
COM
02209s103
13215
344219
SH
SOLE
294834
0
49385
Ambev SA American Depositary
SPONSORED ADR
02319v103
1192
162182
SH
SOLE
153007
0
9175
American Express Co
COM
025816109
11591
127749
SH
SOLE
110068
0
17681
American Realty Capital Properties Inc
COM
02917t104
41029
3192701
SH
SOLE
2488823
0
703878
Amex Technology Select SPDR Se
TECHNOLOGY
81369y803
405
11324
SH
SOLE
11324
0
0
Amgen Inc
COM
031162100
356
3119
SH
SOLE
3119
0
0
Anheuser-Busch InBev NV
SPONSORED ADR
03524A108
19349
181751
SH
SOLE
152957
0
28794
Annaly Capital Management Inc
COM
035710409
127
12770
SH
SOLE
12770
0
0
Aon PLC
SHS CL A
G0408V102
23354
278392
SH
SOLE
234376
0
44016
Apple Inc
COM
037833100
7435
13253
SH
SOLE
12582
0
671
ARMOUR Residential REIT Inc
COM
042315101
241
60000
SH
SOLE
60000
0
0
AT&T Inc
COM
00206r102
1195
33985
SH
SOLE
32285
0
1700
Automatic Data Processing Inc
COM
053015103
395
4891
SH
SOLE
4891
0
0
Bank of America Corp
COM
060505104
476
30553
SH
SOLE
30453
0
100
Bank of New York Mellon Corp/T
COM
064058100
16683
477481
SH
SOLE
405107
0
72374
Berkshire Hathaway CL A
CL A
084670108
2313
13
SH
SOLE
13
0
0
Berkshire Hathaway Inc Cl B
CLN NEW
084670702
21058
177616
SH
SOLE
149323
0
28293
Blackrock Build America Bond T
SHS
09248x100
1155
60324
SH
SOLE
50585
0
9739
BlackRock Credit Allocation In
COM
092508100
586
44833
SH
SOLE
35409
0
9424
Blackrock Floating Rate Income
COM
091941104
180
12908
SH
SOLE
12908
0
0
BlackRock Inc
COM
09247X101
17063
53917
SH
SOLE
45699
0
8218
Blackrock Ltd Duration
COM SHS
09249w101
415
24255
SH
SOLE
18985
0
5270
Blackrock Muniholdings CA Insu
COM
09254l107
638
48228
SH
SOLE
46916
0
1312
Blackrock Muniyield CA Insured
COM
09254e103
249
19651
SH
SOLE
18688
0
963
Boeing Co/The
COM
097023105
18307
134126
SH
SOLE
113446
0
20680
Bristol-Myers Squibb Co
COM
110122108
300
5642
SH
SOLE
5272
0
370
British American Tobacco PLC
SPONSORED ADR
110448107
10293
95823
SH
SOLE
82503
0
13320
Broadcom Corp
CL A
111320107
884
29808
SH
SOLE
29808
0
0
Brown Foreman Corp Class B Wit
CL B
115637209
563
7453
SH
SOLE
7453
0
0
Canadian Natural Resources Ltd
COM
136385101
10248
302835
SH
SOLE
249601
0
53234
Career Education Corp
COM
141665109
57
10000
SH
SOLE
10000
0
0
Caterpillar Inc
COM
149123101
241
2653
SH
SOLE
2487
0
166
Centrais Eletricas Brasileiras
SPONSORED ADR
15234q207
92
35681
SH
SOLE
35681
0
0
Chevron Corp
COM
166764100
3709
29697
SH
SOLE
29542
0
155
Chimera Investment Corp
COM
16934Q109
124
40000
SH
SOLE
40000
0
0
Cisco Systems Inc
COM
17275r102
623
27766
SH
SOLE
25938
0
1828
Citi A Warrants Exp 01/04/19
*W EXP 01/04/201
172967226
19
28985
SH
SOLE
28985
0
0
Citigroup Inc
COM NEW
172967424
422
8092
SH
SOLE
8092
0
0
Coca-Cola Co/The
COM
191216100
939
22742
SH
SOLE
22526
0
216
Colgate-Palmolive Co
COM
194162103
527
8074
SH
SOLE
8074
0
0
Colony Financial Inc
COM
19624r106
1177
58000
SH
SOLE
56500
0
1500
Comcast Corp
CL A SPL
20030n101
278
5354
SH
SOLE
5354
0
0
Comcast Corp
CL A SPL
20030N200
13369
268017
SH
SOLE
227346
0
40671
Compass Minerals International
COM
20451N101
332
4142
SH
SOLE
3789
0
353
Comstock Mining Inc
COM
205750102
25
14163
SH
SOLE
14163
0
0
ConocoPhillips
COM
20825c104
491
6943
SH
SOLE
6943
0
0
Cys Invts Inc Com
COM
12673a108
133
18000
SH
SOLE
18000
0
0
Deutsche Bank Inverse JGB Futu
INV JAP GOV BD
25154p170
251
12935
SH
SOLE
11941
0
994
Devon Energy Corp
COM
25179M103
13465
217640
SH
SOLE
182743
0
34898
Diageo PLC
SPON ADR NEW
25243Q205
19131
144471
SH
SOLE
118707
0
25765
Diana Containerships I Com
COM
y2069p101
71
17500
SH
SOLE
17500
0
0
Dominion Resources Inc/VA
COM
25746U109
496
7671
SH
SOLE
6669
0
1002
DoubleLine Opportunistic Credi
COM
258623107
1327
59454
SH
SOLE
56439
0
3015
Eaton Vance Limited Duration I
COM
27828h105
689
45031
SH
SOLE
36031
0
9000
Eaton Vance Tax-Managed Global
COM
27829f108
554
55351
SH
SOLE
52444
0
2907
Ecolab Inc
COM
278865100
258
2471
SH
SOLE
60
0
2411
EI du Pont de Nemours & Co
COM
263534109
333
5128
SH
SOLE
4870
0
258
Eldorado Gold Corp
COM
284902103
64
11330
SH
SOLE
11330
0
0
Eli Lilly & Co
COM
532457108
488
9570
SH
SOLE
9570
0
0
Emerson Electric Co
COM
291011104
430
6128
SH
SOLE
6128
0
0
Energy Transfer Equity LP
COM UT LTD PTN
29273v100
382
4675
SH
SOLE
4675
0
0
Energy Transfer Partners
UNIT LTD PARTN
29273r109
209
3654
SH
SOLE
3654
0
0
Enterprise Products Partners L
COM
293792107
2302
34726
SH
SOLE
34726
0
0
Exxon Mobil Corp
COM
30231G102
3624
35810
SH
SOLE
35595
0
215
Fifth Street Finance Corp
COM
31678A103
93
10000
SH
SOLE
10000
0
0
Flaherty And Crumine/Claymore
COM
338478100
559
31936
SH
SOLE
30838
0
1098
Frontier Communications Corp
COM
35906a108
244
52501
SH
SOLE
52501
0
0
General American Investors
COM
368802104
549
15592
SH
SOLE
15592
0
0
General Electric Co
COM
369604103
1329
47406
SH
SOLE
41371
0
6035
Gilead Sciences Inc
COM
375558103
235
3129
SH
SOLE
2159
0
970
GlaxoSmithKline PLC
SPONSORED ADR
37733W105
17576
329204
SH
SOLE
279359
0
49845
Goldman Sachs Group Inc/The
COM
38141G104
15094
85150
SH
SOLE
71748
0
13402
Google Inc
CL A
38259p508
338
302
SH
SOLE
218
0
84
Halliburton Co
COM
406216101
498
9812
SH
SOLE
9812
0
0
Home Depot Inc/The
COM
437076102
646
7843
SH
SOLE
7678
0
165
Honeywell International Inc
COM
438516106
265
2904
SH
SOLE
2801
0
103
Illinois Tool Works Inc
COM
452308109
389
4621
SH
SOLE
4621
0
0
Intel Corp
COM
458140100
567
21833
SH
SOLE
21833
0
0
International Business Machine
COM
459200101
19979
106514
SH
SOLE
89537
0
16977
iShares Core S&P Total US Stoc
CORE S&P TTL STK
464287150
687
8117
SH
SOLE
7315
0
802
iShares Iboxx $ Invest Grade C
IBOXX INV CP ETF
464287242
550
4814
SH
SOLE
4101
0
713
iShares MSCI Eafe Index Fund
MSCI EAFE IDX
464287465
1415
21085
SH
SOLE
11047
0
10038
iShares MSCI Emerging Markets
MSCI EMG MKT ETF
464287234
462
11048
SH
SOLE
8747
0
2301
iShares MSCI Growth Index Fund
EAFE GRWTH ETF
464288885
303
4244
SH
SOLE
4244
0
0
iShares S&P California Municip
CALI AMT-FRE ETF
464288356
563
5173
SH
SOLE
5173
0
0
iShares S&P Midcap 400 Growth
S&P MC 400GR ETF
464287606
350
2332
SH
SOLE
2332
0
0
iShares S&P Midcap 400 Index F
CORE S&P MCP ETF
464287507
209
1685
SH
SOLE
1685
0
0
iShares S&P Midcap 400 Value F
S&P MC 400VL ETF
464287705
228
1958
SH
SOLE
1958
0
0
iShares S&P Small Cap 400 Inde
CORE S&P SC ETF
464287804
400
3662
SH
SOLE
3662
0
0
iShares Silver Trusts
ISHARES
46428Q109
237
12661
SH
SOLE
12661
0
0
Johnson & Johnson
COM
478160104
26084
284796
SH
SOLE
246494
0
38302
JPMorgan Chase & Co
COM
46625h100
447
7647
SH
SOLE
7511
0
136
Just Energy Group Inc Com
COM
48213w101
229
32000
SH
SOLE
32000
0
0
Kayne Anderson Mdstm Com
COM
48661e108
790
22948
SH
SOLE
18223
0
4725
Kinder Morgan Energy LP Unit L
UT LTD PARTNER
494550106
369
4580
SH
SOLE
4580
0
0
Level 3 Communications Inc
COM NEW
52729n308
1231
37112
SH
SOLE
33153
0
3959
Life Partners Holdings Com
COM
53215t106
27
15000
SH
SOLE
15000
0
0
Live Nation Entertainment Inc
COM
538034109
411
20822
SH
SOLE
19312
0
1510
Lockheed Martin Corp
COM
539830109
211
1419
SH
SOLE
1419
0
0
Magellan Midstream Partners LP
COM UNIT RP LP
559080106
643
10170
SH
SOLE
10170
0
0
Martin Marietta Materials Inc
COM
573284106
277
2771
SH
SOLE
2553
0
218
McDonald's Corp
COM
580135101
842
8681
SH
SOLE
8480
0
201
Medtronic Inc
COM
585055106
233
4055
SH
SOLE
4055
0
0
Merck & Co Inc
COM
58933y105
331
6607
SH
SOLE
6607
0
0
Microsoft Corp
COM
594918104
25965
694059
SH
SOLE
612193
0
81866
Mondelez International Inc
CL A
609207105
14059
398266
SH
SOLE
334082
0
64184
National Oilwell Varco Inc
COM
637071101
896
11263
SH
SOLE
11263
0
0
New York Mtg Tr Inc Com Par $.
COM PAR $.02
649604501
105
15000
SH
SOLE
15000
0
0
Nordstrom Inc
COM
655664100
322
5210
SH
SOLE
5210
0
0
Novartis AG
SPONSORED ADR
66987v109
21315
265180
SH
SOLE
223298
0
41882
NRG Energy Inc
COM NEW
629377508
370
12874
SH
SOLE
11811
0
1063
Nucor Corp
COM
670346105
762
14279
SH
SOLE
14279
0
0
Nuveen Build America Bond Fund
COM
67074c103
749
40643
SH
SOLE
33201
0
7442
Nuveen Build America Bond Oppo
COM
67074q102
538
27710
SH
SOLE
22447
0
5263
Nuveen CA Muni Value Fund
COM
67062C107
2824
307336
SH
SOLE
242252
0
65084
Nuveen Multi-Strategy Inc & Gr
COM
67073b106
678
76489
SH
SOLE
56786
0
19703
Nuveen Multi-Strategy Inc & Gr
COM
67073d102
240
24709
SH
SOLE
10679
0
14030
Nuveen Municipal Value Fund
COM
670928100
133
14674
SH
SOLE
14674
0
0
Nuveen Quality Preferred Incom
COM
67072c105
214
26248
SH
SOLE
26248
0
0
Oaktree Capital Group LLC
UNIT CL A
674001201
706
12000
SH
SOLE
12000
0
0
Occidental Petroleum Corp
COM
674599105
12788
134469
SH
SOLE
112153
0
22316
Oracle Corp
COM
68389x105
20442
534285
SH
SOLE
452541
0
81744
PCM Fund Inc
COM
69323T101
9237
792859
SH
SOLE
715880
0
76979
Pengrowth Energy Corp
COM
70706p104
155
25000
SH
SOLE
25000
0
0
Penn West Petroleum Ltd
COM
707887105
149
17860
SH
SOLE
17860
0
0
PepsiCo Inc
COM
713448108
17069
205805
SH
SOLE
172137
0
33668
Pfizer Inc
COM
717081103
3809
124371
SH
SOLE
33947
0
90424
Philip Morris International In
COM
718172109
20719
237798
SH
SOLE
204840
0
32958
Pimco CA Municipal Income Fund
COM
72201c109
1328
144397
SH
SOLE
143397
0
1000
Pimco Corporate Opportunity Fu
COM
72201b101
490
28375
SH
SOLE
22899
0
5476
PIMCO Income Fund
COM
72201y101
3872
132906
SH
SOLE
97131
0
35775
Pimco Income Strategy Fund
COM
72201H108
412
36427
SH
SOLE
36427
0
0
Pimco Income Strategy Fund II
COM
72201j104
5196
522239
SH
SOLE
463559
0
58680
Pimco Municipal Income Fund II
COM
72200w106
317
29755
SH
SOLE
28626
0
1129
Plains All American Pipeline U
UNIT LTD PARTN
726503105
382
7373
SH
SOLE
7373
0
0
Portugal Telecom SGPS SA
SPONSORED ADR
737273102
43
10000
SH
SOLE
10000
0
0
Powershares Emerging Markets D
SOVEREIGN DEBT
73936T573
415
15357
SH
SOLE
9012
0
6345
Procter & Gamble Co/The
COM
742718109
759
9319
SH
SOLE
7336
0
1983
Prospect Capital Corp
COM
74348T102
135
12000
SH
SOLE
12000
0
0
Public Storage
COM
74460d109
399
2651
SH
SOLE
2651
0
0
QUALCOMM Inc
COM
747525103
19946
268639
SH
SOLE
109492
0
159147
Realty Income Corp
COM
756109104
2027
54299
SH
SOLE
51355
0
2944
Republic Services Inc
COM
760759100
18090
544869
SH
SOLE
453519
0
91349
Retail Opportunity Investments
COM
76131n101
1975
134195
SH
SOLE
130695
0
3500
Rexford Industrial Realty Inc
COM
76169c100
27759
2102962
SH
SOLE
1779764
0
323198
RLI Corp
COM
749607107
229
2350
SH
SOLE
2350
0
0
Royal Dutch Shell PLC - ADR A
SPONS ADR A
780259206
408
5726
SH
SOLE
5726
0
0
Royce Global Value
COM
78081t104
535
60184
SH
SOLE
55809
0
4375
Rubicon Minerals Corp
COM
780911103
12
14000
SH
SOLE
14000
0
0
Safeway Inc
COM NEW
786514208
336
10331
SH
SOLE
68
0
10263
Schlumberger Ltd
COM
806857108
12544
139209
SH
SOLE
118624
0
20585
Sequenom Inc Com New
COM NEW
817337405
29
12500
SH
SOLE
12500
0
0
Simon Property Group Inc
COM
828806109
8440
55468
SH
SOLE
46774
0
8694
Snyders-Lance Inc
COM
833551104
463
16156
SH
SOLE
15632
0
524
Source Capital Inc
COM
836144105
605
9022
SH
SOLE
8680
0
342
SPDR BarCap ST High Yield Bond
CAP S/T HI YLD
78468r408
2762
89534
SH
SOLE
82968
0
6566
SPDR Gold Trust
GOLD SHS
78463v107
819
7050
SH
SOLE
6700
0
350
Spdr Index Shs Fds Euro Stoxx 50
EURO STOXX 50
78463x202
515
12208
SH
SOLE
12208
0
0
SPDR S&P 500 ETF Trust
TR UNIT
78462F103
3844
20814
SH
SOLE
13433
0
7381
Starbucks Corp
COM
855244109
408
5210
SH
SOLE
4725
0
485
Starwood Property Trust Inc
COM
85571b105
2233
80600
SH
SOLE
78600
0
2000
Stratasys Ltd Shs
SHS
m85548101
350
2600
SH
SOLE
2600
0
0
Sunoco Logistics Partners LP
COM UNITS
86764l108
265
3511
SH
SOLE
3511
0
0
TeleCommunication Sys Cl A
CL A
87929j103
23
10000
SH
SOLE
10000
0
0
Templeton Emerging Markets Inc
COM
880192109
447
32770
SH
SOLE
31202
0
1568
Teva Pharmaceutical Industries
ADR
881624209
730
18215
SH
SOLE
17444
0
771
TIBCO Software Inc
COM
88632q103
202
9000
SH
SOLE
9000
0
0
TICC Capital Corp
COM
87244t109
208
20126
SH
SOLE
20126
0
0
Time Warner Inc
COM NEW
887317303
204
2927
SH
SOLE
2927
0
0
TJX Cos Inc
COM
872540109
14525
227915
SH
SOLE
192714
0
35200
Total SA
SPONSORED ADR
89151E109
649
10600
SH
SOLE
10600
0
0
Travelers Cos Inc/The
COM
89417e109
274
3024
SH
SOLE
2819
0
205
TSW Strategic Income Fund Inc
COM
872340104
796
149020
SH
SOLE
126239
0
22781
Unilever NV
N Y SHS NEW
904784709
1559
38763
SH
SOLE
36039
0
2724
Union Pacific Corp
COM
907818108
352
2098
SH
SOLE
2098
0
0
United Parcel Service Inc
CL B
911312106
24027
228651
SH
SOLE
192810
0
35841
United Technologies Corp
COM
913017109
549
4828
SH
SOLE
4671
0
157
US Bancorp
COM NEW
902973304
558
13811
SH
SOLE
13542
0
269
Vanguard Emerging Markets ETF
FTSE EMR MKT ETF
922042858
967
23511
SH
SOLE
23511
0
0
Vanguard Europe Pacific ETF
FTSE DEV MKT ETF
921943858
3393
81408
SH
SOLE
81408
0
0
Vanguard REIT ETF
REIT ETF
922908553
208
3228
SH
SOLE
2341
0
887
Verizon Communications Inc
COM
92343v104
392
7984
SH
SOLE
7581
0
403
Walgreen Co
COM
931422109
262
4555
SH
SOLE
4555
0
0
Wal-Mart Stores Inc
COM
931142103
339
4314
SH
SOLE
3957
0
357
Walt Disney Co/The
COM DISNEY
254687106
13112
171625
SH
SOLE
140842
0
30783
Wells Fargo & Co
COM
949746101
19262
424283
SH
SOLE
360631
0
63652
Wells Fargo Multi-Sector Incom
COM SHS
94987D101
456
32422
SH
SOLE
31140
0
1282
Western Asset Emerging Markets
COM
95766a101
450
26153
SH
SOLE
25129
0
1024
Windstream Corp
COM
97382a101
87
10928
SH
SOLE
10928
0
0
World Wrestling Entertainment
CL A
98156q108
901
54361
SH
SOLE
52259
0
2102