0001086763-20-000006.txt : 20200211
0001086763-20-000006.hdr.sgml : 20200211
20200211172934
ACCESSION NUMBER: 0001086763-20-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20191231
FILED AS OF DATE: 20200211
DATE AS OF CHANGE: 20200211
EFFECTIVENESS DATE: 20200211
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: 20598229
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
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0001086763
XXXXXXXX
12-31-2019
12-31-2019
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
02-11-2020
1
388
2021051
01
0001167365
028-10659
HIGHLAND CAPITAL MANAGEMENT LP
INFORMATION TABLE
2
infotable.xml
3M Co Com
COM
88579Y101
588
3333
SH
SOLE
3295
0
38
Abbott Laboratories
COM
002824100
690
7948
SH
SOLE
4317
0
3631
AbbVie Inc
COM
00287y109
546
6164
SH
SOLE
3991
0
2173
Aberdeen Asia Pacific Income F
COM
003009107
103
24213
SH
SOLE
24213
0
0
Accenture PLC
SHS CLASS A
g1151c101
572
2715
SH
SOLE
1395
0
1320
Activision Blizzard Inc
COM
00507v109
417
7018
SH
SOLE
2398
0
4620
Adobe Systems Inc
COM
00724f101
201
610
SH
SOLE
449
0
161
AK Steel Holding Corp
COM
001547108
43
13000
SH
SOLE
13000
0
0
Alerian MLP ETF
ALERIAN MLP
00162q866
2354
276921
SH
SOLE
249335
0
27586
Alexandria Real Estate Equitie
COM
015271109
5684
35178
SH
SOLE
33470
0
1708
Alibaba Group Holding Inc
SPONSORED ADS
01609w102
1441
6792
SH
SOLE
4136
0
2656
Align Technology Inc
COM
016255101
9061
32471
SH
SOLE
28964
0
3507
Allergan PLC
SHS
g0177j108
837
4378
SH
SOLE
4283
0
95
Alphabet Inc Class A
CAP STK CL A
02079k305
4373
3265
SH
SOLE
1640
0
1625
Alphabet Inc Class A
CAP STK CL A
02079k305
778
581
SH
DFND
01
581
0
0
Alphabet Inc Class C
CAP STK CL C
02079k107
85083
63636
SH
SOLE
57416
0
6220
Alphabet Inc Class C
CAP STK CL C
02079k107
2542
1901
SH
DFND
01
1901
0
0
Altria Group Inc
COM
02209s103
486
9732
SH
SOLE
8892
0
840
Amazon.com Inc
COM
023135106
43387
23480
SH
SOLE
20754
0
2726
Amazon.com Inc
COM
023135106
1432
775
SH
DFND
01
775
0
0
American Express Co
COM
025816109
353
2832
SH
SOLE
1817
0
1015
American Finance Trust Inc - Cl A
COM CLASS A
02607t109
633
47761
SH
SOLE
34403
0
13358
American Water Works Co Inc
COM
030420103
346
2813
SH
SOLE
158
0
2655
AmerisourceBergen Corp
COM
03073e105
12274
144363
SH
SOLE
131899
0
12464
Amgen Inc
COM
031162100
1636
6787
SH
SOLE
5331
0
1456
AMREP Corp
COM
032159105
574
95998
SH
SOLE
94394
0
1604
AMREP Corp
COM
032159105
551
92126
SH
DFND
01
92126
0
0
Analog Devices Inc
COM
032654105
1583
13322
SH
SOLE
2909
0
10413
Anheuser-Busch InBev NV ADR
SPONSORED ADR
03524a108
12015
146452
SH
SOLE
131359
0
15093
Annaly Capital Management Inc
COM
035710409
290
30755
SH
SOLE
30710
0
45
Anthem Inc
COM
036752103
12140
40193
SH
SOLE
36322
0
3872
Apple Inc
COM
037833100
19881
67703
SH
SOLE
53711
0
13991
Applied Materials Inc
COM
038222105
213
3487
SH
SOLE
2500
0
987
Aptiv PLC
SHS
g6095l109
653
6873
SH
SOLE
1631
0
5242
Armstrong World Industries Inc
COM
04247x102
1531
16295
SH
SOLE
3575
0
12720
AT&T Inc
COM
00206r102
2040
52195
SH
SOLE
48074
0
4121
Axos Financial Inc
COM
05465c100
1302
43000
SH
SOLE
43000
0
0
Baidu Inc
SPON ADR REP A
056752108
2939
23253
SH
SOLE
21038
0
2215
Ball Corp
COM
058498106
14164
219014
SH
SOLE
196907
0
22108
Bank of America Corp
COM
060505104
1591
45187
SH
SOLE
42445
0
2742
Bank of America Non-Cumulative
7.25%CNV PFD L
060505682
1405
969
SH
SOLE
821
0
148
Bank of New York Mellon Co
COM
064058100
851
16916
SH
SOLE
12351
0
4565
Baxter International Inc
COM
071813109
2477
29621
SH
SOLE
6581
0
23040
Berkshire Hathaway CL A
CL A
084670108
4754
14
SH
SOLE
14
0
0
Berkshire Hathaway Inc Cl B
CL B NEW
084670702
61042
269500
SH
SOLE
242405
0
27095
Berkshire Hathaway Inc Cl B
CL B NEW
084670702
3821
16870
SH
DFND
01
16870
0
0
BlackRock California Municipal
SH BEN INT
09248e102
3103
228819
SH
SOLE
214716
0
14103
BlackRock Core Bond Trust
SHS BEN INT
09249e101
4181
286793
SH
SOLE
272644
0
14148
BlackRock Credit Allocation In
COM
092508100
3923
280617
SH
SOLE
267595
0
13022
BlackRock Floating Rate Income
COM
09255x100
2795
207997
SH
SOLE
202865
0
5132
BlackRock Inc
COM
09247x101
18493
36788
SH
SOLE
33265
0
3523
Blackrock Income Trust
COM
09247F100
98
16229
SH
SOLE
16229
0
0
BlackRock Limited Duration Inc
COM SHS
09249w101
2516
153488
SH
SOLE
144704
0
8783
BlackRock Multi-Sector Income
COM
09258a107
1350
83521
SH
SOLE
78736
0
4785
BlackRock Municipal 2020 Term
COM SHS
09249x109
191
12800
SH
SOLE
12800
0
0
BlackRock Municipal 2030 Targe
COM SHS BEN IN
09257p105
2994
123776
SH
SOLE
101313
0
22463
BlackRock MuniHoldings Califor
COM
09254l107
4472
319643
SH
SOLE
278622
0
41021
BlackRock MuniHoldings Investm
COM
09254p108
172
12946
SH
SOLE
12946
0
0
BlackRock MuniHoldings Investm
COM
09254p108
385
28961
SH
DFND
01
28961
0
0
BlackRock MuniYield California
COM
09254m105
2559
181267
SH
SOLE
167672
0
13595
BlackRock MuniYield California
COM
09254n103
2823
198661
SH
SOLE
185151
0
13510
BlackRock Taxable Municipal Bo
SHS
09248x100
4638
190532
SH
SOLE
181558
0
8974
BlackRock Taxable Municipal Bo
SHS
09248x100
1965
80713
SH
DFND
01
80713
0
0
Bloom Energy Corp
COM CL A
093712107
662
88682
SH
SOLE
76182
0
12500
Boeing Co
COM
097023105
2241
6879
SH
SOLE
6133
0
746
Booking Holdings Inc
COM
09857l108
18757
9133
SH
SOLE
8257
0
876
BP PLC
SPONSORED ADR
055622104
226
5994
SH
SOLE
5664
0
330
Bristol Myers Squibb Co
COM
110122108
369
5753
SH
SOLE
1506
0
4247
British American Tobacco PLC A
SPONSORED ADR
110448107
204
4812
SH
SOLE
4635
0
177
British American Tobacco PLC A
SPONSORED ADR
110448107
465
10950
SH
DFND
01
10950
0
0
Broadcom Inc
COM
11135f101
2096
6634
SH
SOLE
6156
0
478
Brookfield Asset Management In
CL A LTD VT SH
112585104
14915
258042
SH
SOLE
232669
0
25373
Brookfield Asset Management In
CL A LTD VT SH
112585104
1450
25079
SH
DFND
01
25079
0
0
Brookfield Infrastructure Part
LP INT UNIT
g16252101
1125
22500
SH
SOLE
22500
0
0
Brookfield Property REIT Inc
CL A
11282x103
784
42507
SH
SOLE
33201
0
9306
Brookfield Property REIT Inc
CL A
11282x103
813
44100
SH
DFND
01
44100
0
0
Brookfield Real Assets Income
SHS BEN INT
112830104
856
40096
SH
SOLE
32947
0
7148
Brown Forman Corp Class B With
CL B
115637209
2236
33070
SH
SOLE
30505
0
2565
Brown-Forman Corp Class A Shar
CL A
115637100
379
6034
SH
SOLE
6034
0
0
Brunswick Corp/DE
COM
117043109
550
9163
SH
SOLE
2039
0
7124
Calamos Global Dynamic Income
COM
12811l107
87
10000
SH
SOLE
10000
0
0
Caledonia Mining Corp PLC
SHS NEW
g1757e113
162
19200
SH
SOLE
0
0
19200
Cameco Corp
COM
13321l108
5
596
SH
SOLE
0
0
596
Cameco Corp
COM
13321l108
151
17000
SH
DFND
01
17000
0
0
Canadian National Railway Co
COM
136375102
1964
21718
SH
SOLE
140
0
21578
Canadian Natural Resources Ltd
COM
136385101
812
25096
SH
SOLE
25000
0
96
Cardiovascular Systems Inc
COM
141619106
318
6550
SH
SOLE
6550
0
0
CarMax Inc
COM
143130102
6003
68478
SH
SOLE
60524
0
7954
Caterpillar Inc
COM
149123101
259
1753
SH
SOLE
1700
0
53
CenturyLink Inc
COM
156700106
6886
521274
SH
SOLE
476706
0
44567
CenturyLink Inc
COM
156700106
3823
289379
SH
DFND
01
289379
0
0
Charles Schwab Corp
COM
808513105
2133
44856
SH
SOLE
44794
0
62
Chevron Corp
COM
166764100
5883
48819
SH
SOLE
23722
0
25097
Cigna Corp
COM
125523100
435
2127
SH
SOLE
1731
0
396
CIM Commercial Trust Corp
COM NEW
125525584
131
9039
SH
SOLE
8933
0
106
CIM Commercial Trust Corp
COM NEW
125525584
520
35838
SH
DFND
01
35838
0
0
Cisco Systems Inc
COM
17275R102
3077
64161
SH
SOLE
37201
0
26960
Citigroup Inc
COM NEW
172967424
543
6802
SH
SOLE
4464
0
2338
CME Group Inc/IL
COM
12572q105
232
1157
SH
SOLE
196
0
961
Coca-Cola Co
COM
191216100
3299
59607
SH
SOLE
24898
0
34709
Cohen & Steers Limited Duratio
COM
19248c105
1708
65149
SH
SOLE
54514
0
10635
Cohen & Steers Limited Duratio
COM
19248c105
3
103
SH
DFND
01
103
0
0
Comcast Corp
CL A
20030n101
644
14327
SH
SOLE
9860
0
4467
Consolidated Tomoka Land Co
COM
210226106
46
770
SH
SOLE
770
0
0
Consolidated Tomoka Land Co
COM
210226106
1192
19753
SH
DFND
01
19753
0
0
Consumer Staples Select Sector
SBI CONS STPLS
81369y308
294
4672
SH
SOLE
3972
0
700
Corteva Inc
COM
22052l104
1581
53472
SH
SOLE
8762
0
44710
Costco Wholesale Corp
COM
22160k105
2343
7972
SH
SOLE
7014
0
958
Crown Castle International Cor
COM
22822v101
324
2280
SH
SOLE
974
0
1306
CVS Health Corp
COM
126650100
610
8216
SH
SOLE
7307
0
909
CVS Health Corp
COM
126650100
188
2534
SH
DFND
01
2534
0
0
Danaher Corp
COM
235851102
257
1673
SH
SOLE
1455
0
218
Diageo PLC ADR
SPON ADR NEW
25243q205
2588
15369
SH
SOLE
13074
0
2295
DocuSign Inc
COM
256163106
278
3747
SH
SOLE
2106
0
1641
Dominion Energy Inc
COM
25746u109
566
6830
SH
SOLE
6673
0
157
Doubleline Income Solutions Cl
COM
258622109
596
30152
SH
SOLE
18727
0
11425
Doubleline Income Solutions Cl
COM
258622109
506
25630
SH
DFND
01
25630
0
0
Doubleline Opportunistic Credi
COM
258623107
1437
69623
SH
SOLE
68420
0
1203
Doubleline Opportunistic Credi
COM
258623107
1916
92835
SH
DFND
01
92835
0
0
DoubleLine Total Return Tactic
SPDR TR TACTIC
78467v848
3342
68223
SH
SOLE
68223
0
0
Dow Inc
COM
260557103
2853
52134
SH
SOLE
10001
0
42133
DuPont de Nemours Inc
COM
26614n102
16958
264136
SH
SOLE
200387
0
63749
DuPont de Nemours Inc
COM
26614n102
870
13545
SH
DFND
01
13545
0
0
Eaton Vance California Municip
SH BEN INT
27826f101
3171
235234
SH
SOLE
213145
0
22089
Eaton Vance Floating-Rate Inco
COM
278279104
611
44504
SH
SOLE
43787
0
717
Eaton Vance Insured CA Municip
COM
27828a100
1441
128133
SH
SOLE
116348
0
11785
Eaton Vance Limited Duration I
COM
27828h105
3401
256688
SH
SOLE
250817
0
5871
Eaton Vance Municipal Bond Fun
COM
27827X101
2651
205793
SH
SOLE
164216
0
41577
Eaton Vance Municipal Incm 202
SHS
27829U105
1059
48352
SH
SOLE
20523
0
27830
Ecolab Inc
COM
278865100
228
1181
SH
SOLE
859
0
322
Edison International
COM
281020107
362
4797
SH
SOLE
4663
0
134
Edwards Lifesciences Corp
COM
28176e108
1101
4719
SH
SOLE
3363
0
1356
Elanco Animal Health Inc
COM
28414h103
619
21034
SH
SOLE
7524
0
13510
Electronic Arts Inc
COM
285512109
817
7599
SH
SOLE
1683
0
5916
Emerson Electric Co
COM
291011104
692
9078
SH
SOLE
6414
0
2664
Enbridge Inc
COM
29250n105
12827
322523
SH
SOLE
289848
0
32675
Energy Transfer LP
COM UT LTD PTN
29273v100
98
7643
SH
SOLE
7643
0
0
Energy Transfer LP
COM UT LTD PTN
29273v100
146
11400
SH
DFND
01
11400
0
0
Enterprise Products Partners L
COM
293792107
513
18209
SH
SOLE
11413
0
6796
Eros International PLC
SHS NEW
g3788m114
73
21445
SH
SOLE
21445
0
0
Exxon Mobil Corp
COM
30231g102
3041
43573
SH
SOLE
37762
0
5811
Facebook Inc
CL A
30303m102
176618
860501
SH
SOLE
838687
0
21814
Fidelity National Information
COM
31620m106
282
2029
SH
SOLE
641
0
1388
Financial Select Sector SPDR F
SBI INT-FINL
81369y605
389
12630
SH
SOLE
12130
0
500
First Trust Senior Floating Ra
COM
33733u108
743
59175
SH
SOLE
57778
0
1397
Fiserv Inc
COM
337738108
1327
11475
SH
SOLE
3958
0
7517
Flaherty & Crumrine Preferred
COM
338478100
269
12397
SH
SOLE
12397
0
0
Flaherty and Crumrine Dynamic
SHS
33848w106
1460
54565
SH
SOLE
46906
0
7659
GAMCO Global Gold Natural Reso
COM SH BEN INT
36465a109
95
21545
SH
SOLE
21545
0
0
Gaming & Leisure Properties
COM
36467j108
42212
980525
SH
SOLE
977655
0
2870
GCI Liberty Inc
COM CLASS A
36164v305
3
44
SH
SOLE
44
0
0
GCI Liberty Inc
COM CLASS A
36164v305
782
11040
SH
DFND
01
11040
0
0
General Dynamics Corp
COM
369550108
245
1387
SH
SOLE
1342
0
45
General Electric Co
COM
369604103
447
40070
SH
SOLE
26487
0
13583
General Mills Inc
COM
370334104
265
4942
SH
SOLE
4126
0
816
General Motors Co
COM
37045v100
251
6871
SH
SOLE
6800
0
71
Gilead Sciences Inc
COM
375558103
4001
61572
SH
SOLE
58818
0
2754
Glacier Bancorp Inc
COM
37637Q105
447
9724
SH
SOLE
9724
0
0
GlaxoSmithKline PLC
SPONSORED ADR
37733W105
408
8682
SH
SOLE
8000
0
682
Goldman Sachs ActiveBeta Emerging Markets Equity ETF
ACTIVEBETA EME
381430206
1541
44865
SH
SOLE
40052
0
4813
Goldman Sachs ActiveBeta International Equity ETF
ACTIVEBETA INT
381430107
1523
50361
SH
SOLE
46827
0
3534
Goldman Sachs ActiveBeta U.S.
EQUITY ETF
381430503
3262
50442
SH
SOLE
44987
0
5455
Goldman Sachs Group Inc
COM
38141G104
21860
95074
SH
SOLE
84778
0
10296
Goldman Sachs MLP Income Oppor
COM SHS
38147w103
2161
356084
SH
SOLE
310707
0
45377
Hain Celestial Group Inc/The
COM
405217100
325
12511
SH
SOLE
12500
0
11
Highland/iBoxx Senior Loan ETF
HI LD IBOXX SRLN
430101774
1121
63891
SH
SOLE
58850
0
5041
Home Depot Inc
COM
437076102
2877
13172
SH
SOLE
10996
0
2176
Honeywell International Inc
COM
438516106
4607
26029
SH
SOLE
19045
0
6984
Illumina Inc
COM
452327109
216
651
SH
SOLE
339
0
312
Intel Corp
COM
458140100
1523
25444
SH
SOLE
21158
0
4286
IntercontinentalExchange Inc
COM
45866f104
1445
15613
SH
SOLE
3959
0
11654
International Business Machine
COM
459200101
719
5362
SH
SOLE
4409
0
953
International Flavors & Fragra
COM
459506101
209
1620
SH
DFND
01
1620
0
0
Invesco CEF Income Composite E
CEF INM COMPSI
46138e404
487
20901
SH
SOLE
18975
0
1926
Invesco Dynamic Credit Opportu
COM
46132r104
1148
101136
SH
SOLE
94075
0
7061
Invesco Municipal Opportunity
COM
46132c107
248
20025
SH
SOLE
14908
0
5117
Invesco QQQ Trust Series 1
UNIT SER 1
46090e103
1147
5395
SH
SOLE
5095
0
300
Invesco Quality Municipal Inco
COM
46133G107
590
46911
SH
SOLE
35279
0
11632
Invesco S&P 500 Equal Weight E
S&P500 EQL WGT
46137v357
261
2257
SH
SOLE
2257
0
0
Invesco Senior Income Trust
COM
46131h107
858
199987
SH
SOLE
196799
0
3188
Invesco Value Municipal Income
COM
46132p108
534
34877
SH
SOLE
26621
0
8256
Invesco Van Kampen CA Value Mu
COM
46132h106
2630
205118
SH
SOLE
190105
0
15013
Invesco Variable Rate Investme
VAR RATE INVT
46090a879
2167
86811
SH
SOLE
81273
0
5538
IQ Enhanced Core Plus Bond US
IQ ENCH COR PL
45409b479
874
44299
SH
SOLE
41343
0
2957
IQ Merger Arbitrage ETF
IQ MRGR ARB ETF
45409b800
3862
116339
SH
SOLE
114678
0
1661
IQVIA Holdings Inc
COM
46266c105
22771
147378
SH
SOLE
134051
0
13327
iShares 0-5 Year High Yield Co
0-5YR HI YL CP
46434V407
290
6240
SH
SOLE
6240
0
0
iShares Barclays CMBS Bond
CMBS ETF
46429b366
431
8158
SH
SOLE
8158
0
0
iShares Cohen & Steers Realty
COHEN STEER REIT
464287564
235
2010
SH
SOLE
2010
0
0
iShares Core MSCI EAFE ETF
CORE MSCI EAFE
46432f842
6981
107001
SH
SOLE
91672
0
15329
iShares Core MSCI Emerging Markets ETF
CORE MSCI EMKT
46434g103
4730
87988
SH
SOLE
87988
0
0
Ishares Core S&P Mcp Etf
CORE S&P MCP ETF
464287507
271
1317
SH
SOLE
832
0
485
iShares Core S&P Small-Cap ETF
CORE S&P SCP ETF
464287804
367
4373
SH
SOLE
2267
0
2106
iShares Core S&P Total US Stoc
CORE S&P TTL STK
464287150
2886
39699
SH
SOLE
38302
0
1397
iShares Core U.S. Aggregate Bo
CORE US AGGBD ET
464287226
6939
61752
SH
SOLE
60378
0
1374
iShares DJ Select Dividend Ind
SELECT DIVID ETF
464287168
433
4099
SH
SOLE
3549
0
550
iShares Edge MSCI Min Vol EAFE ETF
MIN VOL EAFE ETF
46429b689
444
5963
SH
SOLE
5963
0
0
iShares Edge MSCI Multifactor
MULTIFACTOR USA
46434v282
4670
135438
SH
SOLE
125005
0
10433
iShares Floating Rate Bond Fun
FLTG RATE NT ETF
46429b655
306
6013
SH
SOLE
5613
0
400
iShares Gold Trust
ISHARES
464285105
70565
4866566
SH
SOLE
4442055
0
424511
iShares MSCI EAFE ETF
MSCI EAFE ETF
464287465
800
11522
SH
SOLE
10673
0
849
iShares MSCI KLD 400 Social Id
MSCI KLD400 SOC
464288570
249
2071
SH
SOLE
2071
0
0
iShares Russell 1000 Growth In
RUS 1000 GRW ETF
464287614
1052
5981
SH
SOLE
3666
0
2315
iShares Russell 1000 Value Ind
RUS 1000 VAL ETF
464287598
894
6549
SH
SOLE
3719
0
2830
iShares Russell 2000 Value Ind
RUS 2000 VAL ETF
464287630
742
5769
SH
SOLE
5769
0
0
iShares S&P 500 Index Fund
CORE S&P500 ETF
464287200
23357
72258
SH
SOLE
62251
0
10007
iShares S&P California Municip
CALIF MUN BD ETF
464288356
7484
122230
SH
SOLE
99760
0
22470
iShares S&P S/T Nationall AMT-
SHRT NAT MUN ETF
464288158
429
4016
SH
SOLE
4016
0
0
Johnson & Johnson
COM
478160104
5670
38868
SH
SOLE
31705
0
7163
JPMorgan Alerian MLP Index ETN
ALERIAN ML ETN
46625h365
11316
518833
SH
SOLE
457647
0
61186
JPMorgan Chase & Co
COM
46625h100
28208
202351
SH
SOLE
177906
0
24445
Kayne Anderson Midstream/Energ
COM
48661e108
6191
588461
SH
SOLE
525948
0
62513
Kayne Anderson Midstream/Energ
COM
48661e108
1947
185079
SH
DFND
01
185079
0
0
Kayne Anderson MLP/Midstream I
COM
486606106
11512
826450
SH
SOLE
765494
0
60956
Kayne Anderson MLP/Midstream I
COM
486606106
1022
73387
SH
DFND
01
73387
0
0
Kinder Morgan Inc
COM
49456B101
1363
64405
SH
SOLE
49736
0
14669
Lam Research Corp
COM
512807108
521
1783
SH
SOLE
1714
0
69
Las Vegas Sands Corp
COM
517834107
2889
41851
SH
SOLE
36294
0
5557
Lennar Corp Cl B
CL B
526057302
11098
248271
SH
SOLE
224128
0
24143
Liberty Broadband Corp Com Cl
COM SER C
530307305
20034
159318
SH
SOLE
144775
0
14543
Liberty Global PLC
SHS CL A
g5480u104
460
20237
SH
DFND
01
20237
0
0
Liberty Global PLC
SHS CL C
g5480u120
628
28802
SH
DFND
01
28802
0
0
Liberty Media Corp Series C
COM SER C FRMLA
531229854
594
12915
SH
SOLE
12613
0
302
Liberty Media Corp-Liberty For
COM SER A FRMLA
531229870
541
12353
SH
SOLE
12353
0
0
Liberty Media Corp-Liberty For
COM SER A FRMLA
531229870
4369
99784
SH
DFND
01
99784
0
0
Linde PLC
SHS
g5494j103
1615
7583
SH
SOLE
6837
0
746
Lockheed Martin Corp
COM
539830109
931
2392
SH
SOLE
2007
0
385
Lowe's Companies Inc
COM
548661107
32588
272107
SH
SOLE
240862
0
31246
Lyft Inc
CL A COM
55087p104
5927
137770
SH
SOLE
124198
0
13572
Macerich Co
COM
554382101
248
9222
SH
SOLE
8848
0
374
Magellan Midstream Partners LP
COM UNIT RP LP
559080106
246
3918
SH
SOLE
3818
0
100
Marathon Petroleum Corp
COM
56585a102
692
11487
SH
SOLE
1457
0
10030
Martin Marietta Materials Inc
COM
573284106
21295
76152
SH
SOLE
68575
0
7577
Mastercard Inc
CL A
57636q104
37860
126795
SH
SOLE
115106
0
11689
McDonald's Corp
COM
580135101
3431
17365
SH
SOLE
12074
0
5291
Medtronic PLC
SHS
g5960l103
32969
290605
SH
SOLE
236229
0
54376
Merck & Co Inc
COM
58933Y105
1389
15276
SH
SOLE
13631
0
1645
MFS Multi-Market
SH BEN INT
552737108
2887
471687
SH
SOLE
442861
0
28827
Microsoft Corp
COM
594918104
199508
1265112
SH
SOLE
1217402
0
47710
Mondelez International Inc
CL A
609207105
518
9413
SH
SOLE
9216
0
197
Motorola Solutions Inc
COM NEW
620076307
1024
6357
SH
SOLE
1519
0
4838
National Oilwell Varco Inc
COM
637071101
273
10895
SH
SOLE
10779
0
116
Netflix Inc
COM
64110l106
319
987
SH
SOLE
741
0
246
Neuberger Berman CA Interm Mu
COM
64123c101
2230
159866
SH
SOLE
135906
0
23960
New America High Income Fund
COM NEW
641876800
2323
254455
SH
SOLE
241780
0
12675
NextEra Energy Inc
COM
65339F101
787
3250
SH
SOLE
2705
0
545
Nextpoint Residential Trust
COM
65341d102
589
13094
SH
SOLE
0
0
13094
NIKE Inc
CL B
654106103
980
9671
SH
SOLE
6108
0
3563
Norfolk Southern Corp
COM
655844108
288
1482
SH
SOLE
475
0
1007
Nuveen Amt-Free Municipal Inco
COM
670657105
495
34439
SH
SOLE
19304
0
15135
Nuveen Build America Bond Fund
COM
67074c103
3244
148521
SH
SOLE
140380
0
8142
Nuveen Build America Bond Fund
COM
67074c103
1114
50988
SH
DFND
01
50988
0
0
Nuveen CA Muni Value Fund
COM
67062C107
7423
697041
SH
SOLE
620294
0
76747
Nuveen CA Sel Tax Free Income
SH BEN INT
67063r103
1664
100115
SH
SOLE
96900
0
3215
Nuveen California AMT-Free Qua
COM
670651108
2742
180251
SH
SOLE
155539
0
24712
Nuveen California Quality Muni
COM
67066y105
5863
393763
SH
SOLE
340997
0
52766
Nuveen Credit Strategies Incom
COM SHS
67073d102
2624
342088
SH
SOLE
338772
0
3317
Nuveen Credit Strategies Incom
COM SHS
67073d102
1670
217750
SH
DFND
01
217750
0
0
Nuveen Enhanced AMT-Free Muni
COM
67071l106
347
20795
SH
SOLE
19395
0
1400
Nuveen Enhanced Municipal Cred
COM SH BEN INT
67070x101
295
18024
SH
SOLE
18024
0
0
Nuveen Intermediate Duration M
COM
670671106
224
16131
SH
SOLE
12513
0
3618
Nuveen Intermediate Duration Q
COM
670677103
191
13771
SH
SOLE
13771
0
0
Nuveen Preferred Income Opport
COM
67073b106
528
50517
SH
SOLE
46434
0
4083
Nuveen Quality Municipal Incom
COM
67066v101
329
22537
SH
SOLE
19065
0
3472
Nuveen Quality Preferred Incom
COM
67072C105
201
20001
SH
SOLE
15843
0
4158
Nuveen Real Asset Income and G
COM
67074y105
459
24991
SH
SOLE
24717
0
274
NVIDIA Corp
COM
67066g104
929
3946
SH
SOLE
3151
0
795
Oaktree Specialty Lending Corp
COM
67401p108
165
30267
SH
SOLE
30267
0
0
Oaktree Strategic Income Corp
COM
67402d104
236
28875
SH
SOLE
28875
0
0
Oaktree Strategic Income Corp
COM
67402d104
534
65223
SH
DFND
01
65223
0
0
Occidental Petroleum Corp
COM
674599105
1226
29753
SH
SOLE
29034
0
719
Oracle Corp
COM
68389X105
566
10679
SH
SOLE
4712
0
5967
O'Reilly Automotive Inc
COM
67103H107
1440
3286
SH
SOLE
3033
0
253
Oxford Square Capital Corp
COM
69181v107
55
10126
SH
SOLE
10126
0
0
PACCAR Inc
COM
693718108
367
4644
SH
SOLE
4000
0
644
Paychex Inc
COM
704326107
249
2923
SH
SOLE
956
0
1967
PayPal Holdings Inc
COM
70450y103
763
7051
SH
SOLE
2997
0
4054
PCM Fund Inc
COM
69323T101
2267
197779
SH
SOLE
182662
0
15117
PepsiCo Inc
COM
713448108
1575
11524
SH
SOLE
8846
0
2678
Pfizer Inc
COM
717081103
26436
674740
SH
SOLE
524727
0
150013
Philip Morris International In
COM
718172109
21208
249238
SH
SOLE
228468
0
20770
Philip Morris International In
COM
718172109
925
10870
SH
DFND
01
10870
0
0
Phillips 66
COM
718546104
631
5663
SH
SOLE
723
0
4940
PICO Holdings Inc
COM NEW
693366205
3789
340723
SH
SOLE
272015
0
68708
PICO Holdings Inc
COM NEW
693366205
7252
652122
SH
DFND
01
652122
0
0
PIMCO Active Bond ETF
ACTIVE BD ETF
72201r775
1690
15673
SH
SOLE
15673
0
0
PIMCO Corporate & Income Oppor
COM
72201b101
288
15146
SH
SOLE
11492
0
3654
PIMCO Dynamic Credit and Mortg
COM SHS
72202d106
4103
162817
SH
SOLE
146294
0
16523
PIMCO Dynamic Credit and Mortg
COM SHS
72202d106
674
26750
SH
DFND
01
26750
0
0
PIMCO Dynamic Income Fund
SHS
72201y101
481
14827
SH
SOLE
13380
0
1447
PIMCO Energy & Tactical Credit
COM SHS BEN INT
69346n107
10820
655786
SH
SOLE
590345
0
65441
PIMCO Enhanced Short Maturity
ENHAN SHRT MA AC
72201r833
2761
27181
SH
SOLE
27181
0
0
PIMCO Income Strategy Fund II
COM
72201j104
865
81663
SH
SOLE
77268
0
4395
PIMCO Municipal Income Fund II
COM
72200w106
485
30591
SH
SOLE
30591
0
0
PNC Financial Services Group I
COM
693475105
294
1844
SH
SOLE
1746
0
98
Point Bridge Gop Stock Tracker
POINT BRIDGE GOP
26922a628
7096
247000
SH
SOLE
247000
0
0
Procter & Gamble Co
COM
742718109
2286
18300
SH
SOLE
15212
0
3088
Prospect Capital Corp
COM
74348t102
83
12947
SH
SOLE
12947
0
0
QUALCOMM Inc
COM
747525103
14569
165130
SH
SOLE
146397
0
18733
QUALCOMM Inc
COM
747525103
176
2000
SH
DFND
01
2000
0
0
Raytheon Co
COM NEW
755111507
937
4266
SH
SOLE
2016
0
2250
Reading International Inc
CL A
755408101
325
29000
SH
DFND
01
29000
0
0
Realty Income Corp
COM
756109104
373
5071
SH
SOLE
3397
0
1674
Reaves Utility Income Fund
COM SH BEN INT
756158101
601
16225
SH
SOLE
15446
0
779
Republic Services Inc
COM
760759100
410
4573
SH
SOLE
4103
0
470
Retail Opportunity Investments
COM
76131n101
15900
900332
SH
SOLE
820389
0
79943
Retail Opportunity Investments
COM
76131n101
504
28536
SH
DFND
01
28536
0
0
Rexford Industrial Realty Inc
COM
76169C100
14844
325025
SH
SOLE
267338
0
57687
RiverNorth/DoubleLine Strategi
COM
76882G107
625
38019
SH
SOLE
38019
0
0
RiverNorth/DoubleLine Strategi
COM
76882G107
1593
96975
SH
DFND
01
96975
0
0
RLI Corp
COM
749607107
287
3183
SH
SOLE
3183
0
0
RLJ Lodging Trust Pfd 1.95 Co
CUM CONV PFD A
74965l200
742
25835
SH
SOLE
21657
0
4178
Robert Half International Inc
COM
770323103
694
10993
SH
SOLE
0
0
10993
Rockwell Automation Inc
COM
773903109
736
3630
SH
SOLE
3262
0
368
Royal Dutch Shell PLC
SPON ADR B
780259107
258
4300
SH
SOLE
4300
0
0
Royce Micro Capital Trust Inc
COM
780915104
761
89159
SH
SOLE
74775
0
14384
S&P Global Inc
COM
78409v104
1892
6930
SH
SOLE
1566
0
5364
Sabre Corp
COM
78573m104
445
19840
SH
SOLE
5270
0
14570
salesforce.com Inc
COM
79466l302
22628
139127
SH
SOLE
124461
0
14666
Schwab Int'l Large Cap Equity - ETF
INTL EQTY ETF
808524805
519
15420
SH
SOLE
15420
0
0
Schwab Large Cap Blend - ETF
US LRG CAP ETF
808524201
310
4035
SH
SOLE
4035
0
0
Schwab U.S. Large-Cap Value ET
US LCAP VA ETF
808524409
372
6193
SH
SOLE
6193
0
0
Sempra Energy
COM
816851109
779
5140
SH
SOLE
5108
0
32
Sherwin-Williams Co/The
COM
824348106
237
406
SH
SOLE
400
0
6
Skyworks Solutions Inc
COM
83088m102
2040
16879
SH
SOLE
3920
0
12959
Snap Inc
CL A
83304a106
2024
123934
SH
SOLE
0
0
123934
Sony Corp ADR
SPONSORED ADR
835699307
13720
201759
SH
SOLE
183453
0
18305
Sony Corp ADR
SPONSORED ADR
835699307
2199
32345
SH
DFND
01
32345
0
0
Southwest Airlines Co
COM
844741108
12427
230223
SH
SOLE
203494
0
26729
SPDR Gold Trust
GOLD SHS
78463v107
9692
67826
SH
SOLE
61260
0
6566
SPDR Portfolio Mid Cap ETF
PORTFOLIO MD ETF
78464A847
1197
33052
SH
SOLE
33052
0
0
SPDR Portfolio World ex- US ETF
PORTFOLIO DEVLPD
78463X889
388
12382
SH
SOLE
12382
0
0
SPDR S&P 500 ETF Unit Trust
TR UNIT
78462f103
17310
53782
SH
SOLE
48514
0
5268
SPDR S&P Dividend ETF
S&P DIVID ETF
78464A763
260
2420
SH
SOLE
2420
0
0
SPDR S&P Global Infrastructure
S&P GBLINF ETF
78463x855
2782
50541
SH
SOLE
46984
0
3557
Starbucks Corp
COM
855244109
2437
27715
SH
SOLE
24507
0
3208
Starwood Property Trust Inc
COM
85571b105
15888
639099
SH
SOLE
584563
0
54536
Sterling Bancorp
COM
85917a100
3041
144266
SH
SOLE
143816
0
450
Sysco Corp
COM
871829107
557
6509
SH
SOLE
5556
0
953
Tandy Leather Factory Inc
COM
87538X105
388
67871
SH
SOLE
66677
0
1194
Tandy Leather Factory Inc
COM
87538X105
57
10046
SH
DFND
01
10046
0
0
Tanzanian Gold Corp
COM
87601a107
72
117371
SH
SOLE
117371
0
0
Target Corp
COM
87612e106
527
4113
SH
SOLE
3480
0
633
TCW Strategic Income Fund Inc
COM
872340104
5952
1031519
SH
SOLE
953149
0
78370
TCW Strategic Income Fund Inc
COM
872340104
229
39710
SH
DFND
01
39710
0
0
Technology Select Sector SPDR
TECHNOLOGY
81369y803
205
2234
SH
SOLE
2234
0
0
Tesla Motors Inc
COM
88160r101
784
1875
SH
SOLE
1600
0
275
Texas Instruments Inc
COM
882508104
11741
91520
SH
SOLE
81348
0
10172
Thermo Fisher Scientific Inc
COM
883556102
324
998
SH
SOLE
303
0
695
Tidewater Inc
COM
88642r109
211
10930
SH
DFND
01
10930
0
0
TJX Companies Inc
COM
872540109
522
8545
SH
SOLE
7551
0
994
Tortoise Energy Infrastructure
COM
89147l100
4033
224933
SH
SOLE
200521
0
24412
Tortoise North American Pipeli
TORTOISE NRAM PI
56167n720
380
16160
SH
SOLE
16160
0
0
Uber Technologies Inc
COM
90353t100
5965
200577
SH
SOLE
181227
0
19350
Unilever PLC
SPON ADR NEW
904767704
15277
267226
SH
SOLE
241360
0
25867
Union Pacific Corp
COM
907818108
514
2844
SH
SOLE
2674
0
170
United Parcel Service Inc
CL B
911312106
36551
312242
SH
SOLE
297075
0
15167
United Technologies Corp
COM
913017109
553
3691
SH
SOLE
3465
0
226
UnitedHealth Group Inc
COM
91324p102
13056
44413
SH
SOLE
40443
0
3970
US Bancorp
COM NEW
902973304
300
5057
SH
SOLE
2559
0
2498
VanEck Vectors Short High-Yiel
SHORT HIGH YIELD
92189f387
587
23282
SH
SOLE
23282
0
0
Vanguard FTSE Emerging Markets ETF
FTSE EMR MKT ETF
922042858
793
17840
SH
SOLE
1841
0
15999
Vanguard Growth ETF
GROWTH ETF
922908736
370
2031
SH
SOLE
1741
0
290
Vanguard Mid Cap ETF
MID CAP ETF
922908629
3417
19176
SH
SOLE
19176
0
0
Vanguard Mortgage-Backed Secur
MORTG-BACK SEC
92206c771
1633
30717
SH
SOLE
29642
0
1075
Vanguard REIT ETF
REAL ESTATE ETF
922908553
4809
51822
SH
SOLE
49001
0
2821
Vanguard S&P 500 ETF
S&P 500 ETF SHS
922908363
6023
20363
SH
SOLE
20363
0
0
Vanguard S&P Small-Cap 600 ETF
SMLLCP 600 IDX
921932828
1994
13106
SH
SOLE
13106
0
0
Vanguard Short Term Corporate
SHRT TRM CORP BD
92206c409
516
6369
SH
SOLE
6369
0
0
Vanguard Total Stock Market ET
TOTAL STK MKT
922908769
267
1633
SH
SOLE
1633
0
0
Vereit Inc
COM
92339V100
72531
7849662
SH
SOLE
6969583
0
880079
Verizon Communications Inc
COM
92343v104
1336
21757
SH
SOLE
16131
0
5627
Visa Inc
COM CL A
92826C839
19615
104392
SH
SOLE
92126
0
12266
Voya Prime Rate Trust
SH BEN INT
92913a100
658
131387
SH
SOLE
129410
0
1977
Vulcan Materials Co
COM
929160109
1733
12036
SH
SOLE
2836
0
9200
Wal-Mart Stores Inc
COM
931142103
730
6142
SH
SOLE
4791
0
1351
Walt Disney Co
COM DISNEY
254687106
55964
386945
SH
SOLE
343852
0
43093
Walt Disney Co
COM DISNEY
254687106
1339
9260
SH
DFND
01
9260
0
0
Wells Fargo & Co
COM
949746101
899
16715
SH
SOLE
16130
0
585
Wells Fargo & Co
COM
949746101
127
2360
SH
DFND
01
2360
0
0
Wells Fargo & Co New Perp Pfd
PERP PFD CNV A
949746804
4470
3083
SH
SOLE
2929
0
153
Wells Fargo Multi-Sector Incom
COM
94987D101
424
32942
SH
SOLE
27420
0
5522
Western Asset Mortgage Capital
COM
95790d105
155
15000
SH
SOLE
15000
0
0
Western Asset/Claymore US Trea
COM
95766r104
156
13553
SH
SOLE
13553
0
0
Williams Companies Inc
COM
969457100
133
5613
SH
SOLE
5356
0
257
Williams Companies Inc
COM
969457100
151
6385
SH
DFND
01
6385
0
0
WisdomTree China ex-State-Owned Enterprises Fund
CHINADIV EX FI
97717X719
254
3055
SH
SOLE
3055
0
0
Woodward Inc
COM
980745103
713
6024
SH
SOLE
6023
0
1