0001086763-17-000003.txt : 20170214 0001086763-17-000003.hdr.sgml : 20170214 20170214141536 ACCESSION NUMBER: 0001086763-17-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 EFFECTIVENESS DATE: 20170214 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: 17606961 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 12-31-2016 12-31-2016 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. BRUCE IRVINE CA 02-14-2017 1 353 1527685 01 0001167365 028-10659 HIGHLAND CAPITAL MANAGEMENT LP INFORMATION TABLE 2 infotable.xml Berkshire Hathaway CL A CL A 084670108 4150 17 SH SOLE 17 0 0 3M Co Com COM 88579Y101 827 4631 SH SOLE 4631 0 0 Abbott Laboratories COM 002824100 511 13305 SH SOLE 5805 0 7500 AbbVie Inc. 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CL A 13462k109 409 12550 SH SOLE 12550 0 0 Caterpillar Inc COM 149123101 281 3028 SH SOLE 3028 0 0 Celgene Corp COM 151020104 2795 24148 SH SOLE 24148 0 0 CenturyLink Inc COM 156700106 1391 58481 SH SOLE 53979 0 4502 Charles Schwab Corp COM 808513105 1784 45196 SH SOLE 44238 0 958 Chevron Corp COM 166764100 1857 15780 SH SOLE 15114 0 666 Cigna Corp COM 125509109 273 2049 SH SOLE 2049 0 0 Cisco Systems Inc COM 17275R102 2122 70229 SH SOLE 38284 0 31945 Citi A Warrants Exp 01/04/19 *W EXP 01/04/201 172967226 3 18985 SH SOLE 18985 0 0 Coca Cola Inc COM 191216100 4474 107911 SH SOLE 93359 0 14552 Coca-Cola European Partners PL SHS g25839104 946 30115 SH SOLE 30115 0 0 Cohen & Steers Limited Duratio COM 19248c105 5884 239779 SH SOLE 223608 0 16172 Cohen & Steers Limited Duratio COM 19248c105 2104 85718 SH DFND 01 85718 0 0 Colgate-Palmolive Co COM 194162103 300 4588 SH SOLE 4588 0 0 Comcast Corp CL A 20030n101 24097 348973 SH SOLE 304730 0 44243 Consolidated Edison Inc COM 209115104 231 3141 SH SOLE 2841 0 300 Constellation Brands Inc CL A 21036p108 550 3586 SH SOLE 3586 0 0 Contravir Pharmaceuticals Inc COM 21234W103 12 10000 SH SOLE 10000 0 0 Copart Inc COM 217204106 568 10256 SH SOLE 1133 0 9123 Coresite Realty Corp COM 21870q105 747 9411 SH SOLE 9411 0 0 Costamare Inc Shs SHS y1771g102 554 98960 SH SOLE 98960 0 0 Costco Wholesale Corp COM 22160k105 1022 6380 SH SOLE 5363 0 1017 Crown Holdings Inc COM 228368106 592 11269 SH SOLE 1247 0 10022 CVS Health Corp COM 126650100 264 3347 SH SOLE 3147 0 200 Cys Invts Inc Com COM 12673a108 193 25000 SH SOLE 25000 0 0 Deckers Outdoor Corp COM 243537107 245 4431 SH SOLE 489 0 3942 Deere & Co COM 244199105 215 2091 SH SOLE 2091 0 0 Delphi Automotive PLC SHS g27823106 225 3342 SH SOLE 367 0 2975 Diageo PLC SPON ADR NEW 25243Q205 26624 256147 SH SOLE 221848 0 34299 Diageo PLC SPON ADR NEW 25243Q205 780 7505 SH DFND 01 7505 0 0 Digital Realty Trust Inc COM 253868103 540 5495 SH SOLE 5495 0 0 Direxion Shares Jr Gold Minder DAILY JR GOLD MI 25490k554 80 14390 SH SOLE 0 0 14390 Discovery Communications Inc COM SER C 25470f302 201 7500 SH SOLE 7500 0 0 Diversified Real Asset Income COM SHS 25533B108 3965 254302 SH SOLE 236787 0 17515 Diversified Real Asset Income COM SHS 25533B108 0 1 SH DFND 01 1 0 0 Dominion Resources Inc/VA COM 25746U109 690 9012 SH SOLE 9012 0 0 Doubleline Income Solutions Cl COM 258622109 8094 426242 SH SOLE 383908 0 42333 Doubleline Income Solutions Cl COM 258622109 959 50477 SH DFND 01 50477 0 0 Doubleline Opportunistic Credi COM 258623107 774 33523 SH SOLE 32483 0 1040 Doubleline Opportunistic Credi COM 258623107 116 5037 SH DFND 01 5037 0 0 DoubleLine Total Return Tactic SPDR TR TACTIC 78467v848 4609 95255 SH SOLE 66306 0 28949 Dow Chemical Co COM 260543103 16188 282906 SH SOLE 120439 0 162467 Eaton Vance California Municip SH BEN INT 27826f101 452 36788 SH SOLE 35989 0 799 Eaton Vance Limited Duration I COM 27828h105 4679 341006 SH SOLE 315110 0 25896 Eaton Vance Municipal Bond Fun COM 27827X101 511 41208 SH SOLE 23309 0 17899 Eaton Vance Municipal Incm 202 SHS 27829U105 1373 70008 SH SOLE 42215 0 27793 Eaton Vance National Muni COM SHS 27829l105 1443 69391 SH SOLE 54982 0 14409 eBay Inc COM 278642103 738 24873 SH SOLE 4820 0 20053 Ecolab Inc COM 278865100 344 2933 SH SOLE 2666 0 267 Edison International COM 281020107 635 8823 SH SOLE 8723 0 100 Eldorado Gold Corp COM 284902103 36 11330 SH SOLE 11330 0 0 Eli Lilly & Co COM 532457108 551 7487 SH SOLE 6902 0 585 Emerson Electric Co COM 291011104 623 11177 SH SOLE 9177 0 2000 Enterprise Prods Partners L P COM 293792107 305 11273 SH SOLE 11273 0 0 Entravision Communications Cor CL A 29382r107 525 75000 SH SOLE 75000 0 0 Equinix Inc COM PAR $0.001 29444u700 502 1405 SH SOLE 1405 0 0 Exxon Mobil Corp COM 30231G102 5646 62556 SH SOLE 59260 0 3296 Facebook Inc CL A 30303m102 3747 32568 SH SOLE 28872 0 3696 Fifth Street Finance Corp COM 31678A103 81 15000 SH SOLE 15000 0 0 First Trust Senior Floating Ra COM 33733u108 4152 300227 SH SOLE 274945 0 25282 Flaherty and Crumrine Dynamic SHS 33848w106 1658 69734 SH SOLE 61385 0 8349 Fox Entertainment Group Inc CL B 90130a200 17 642 SH SOLE 642 0 0 Fox Entertainment Group Inc CL B 90130a200 1067 39160 SH DFND 01 39160 0 0 FTD Companies, Inc COM 30281v108 943 39541 SH SOLE 39024 0 517 FTD Companies, Inc COM 30281v108 2371 99459 SH DFND 01 99459 0 0 Gap Inc COM 364760108 237 10574 SH SOLE 10574 0 0 General Electric Co COM 369604103 1337 42316 SH SOLE 36721 0 5595 General Mills Inc COM 370334104 337 5458 SH SOLE 4218 0 1240 Gilead Sciences Inc COM 375558103 6406 89456 SH SOLE 83496 0 5960 Gilead Sciences Inc COM 375558103 1654 23095 SH DFND 01 23095 0 0 Glacier Bancorp Inc COM 37637Q105 555 15306 SH SOLE 15306 0 0 Gladstone Capital Corp COM 376535100 119 12701 SH SOLE 12701 0 0 Global Net Lease, Inc. 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COM 58503f106 75 10000 SH SOLE 10000 0 0 Medtronic PLC SHS g5960l103 21660 304082 SH SOLE 263372 0 40710 Merck & Co Inc COM 58933Y105 26836 455854 SH SOLE 397460 0 58394 MetLife Inc COM 59156r108 304 5632 SH SOLE 4232 0 1400 MFS Multi-Market SH BEN INT 552737108 3175 523889 SH SOLE 479844 0 44044 Micron Technology Inc COM 595112103 438 20000 SH SOLE 20000 0 0 Microsoft Corp COM 594918104 84142 1354067 SH SOLE 1304010 0 50057 Miller Howard High Income Equi COM SHS BEN IN 600379101 857 69137 SH SOLE 58499 0 10638 Mobileye ORD SHS n51488117 407 10670 SH SOLE 10190 0 480 Molson Coors Brewing Co CL B 60871R209 596 6123 SH SOLE 677 0 5446 Mondelez International Inc CL A 609207105 18122 408795 SH SOLE 355513 0 53282 Monsanto Co COM 61166w101 13966 132747 SH SOLE 115437 0 17309 Monsanto Co COM 61166w101 305 2900 SH DFND 01 2900 0 0 Monster Beverage Corp COM 61174x109 457 10309 SH SOLE 9958 0 351 Motorola Solutions Inc COM NEW 620076307 753 9085 SH SOLE 1176 0 7909 National Oilwell Varco Inc 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78462F103 8156 36486 SH SOLE 31527 0 4959 Special Opportunities Fund Inc COM 84741t104 187 13734 SH DFND 01 13734 0 0 Starbucks Corp COM 855244109 8232 148264 SH SOLE 143726 0 4538 Starwood Property Trust Inc COM 85571b105 21030 958089 SH SOLE 852774 0 105315 Sysco Corp COM 871829107 451 8148 SH SOLE 8148 0 0 Tanzanian Royalty Exploration COM 87600u104 59 117371 SH SOLE 117371 0 0 TCW Strategic Income Fund Inc COM 872340104 737 138278 SH SOLE 130360 0 7918 TCW Strategic Income Fund Inc COM 872340104 162 30357 SH DFND 01 30357 0 0 Templeton Emerging Markets Inc COM 880192109 509 46662 SH SOLE 43177 0 3485 Templeton Emerging Markets Inc COM 880192109 382 35038 SH DFND 01 35038 0 0 Teva Pharmaceutical Industries ADR 881624209 2503 69037 SH SOLE 57715 0 11322 Teva Pharmaceutical Industries ADR 881624209 786 21686 SH DFND 01 21686 0 0 Ticc Capital Corp Com COM 87244T109 166 25126 SH SOLE 25126 0 0 Time Warner Inc COM NEW 887317303 1976 20468 SH SOLE 17711 0 2757 TJX Cos Inc COM 872540109 401 5338 SH SOLE 4996 0 342 Toll Brothers Inc COM 889478103 316 10184 SH SOLE 10184 0 0 Tortoise Energy Infrastructure COM 89147l100 295 9622 SH SOLE 7572 0 2050 Total SA SPONSORED ADR 89151e109 267 5238 SH SOLE 2738 0 2500 Travelers Cos Inc/The COM 89417e109 355 2901 SH SOLE 2901 0 0 Twenty First Centy Fox Cl A CL A 90130a101 19085 680646 SH SOLE 585839 0 94807 Twilio Inc CL A 90138f102 636 22050 SH SOLE 22050 0 0 UCP Inc CL A CL A 90265y106 112 9260 SH SOLE 7991 0 1269 UCP Inc CL A CL A 90265y106 792 65740 SH DFND 01 65740 0 0 Ulta Salon Cosmetics & Fragran COM 90384S303 391 1535 SH SOLE 1535 0 0 Unilever NV N Y SHS NEW 904784709 1075 26192 SH SOLE 26192 0 0 Union Pacific Corp COM 907818108 460 4435 SH SOLE 4435 0 0 United Parcel Service Inc CL B 911312106 35050 305738 SH SOLE 263455 0 42283 United Technologies Corp COM 913017109 490 4473 SH SOLE 3473 0 1000 UnitedHealth Group Inc COM 91324P102 1663 10392 SH SOLE 10053 0 339 US Bancorp COM NEW 902973304 212 4127 SH SOLE 4127 0 0 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