0001086763-12-000008.txt : 20121114 0001086763-12-000008.hdr.sgml : 20121114 20121114130141 ACCESSION NUMBER: 0001086763-12-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 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: 121202717 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 inftable13f0912.txt 13F-HR FOR 09-30-2012 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, 2012 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, 2012 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: 146 Form 13F Information Table Value Total: $440674 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 574 6210 SH SOLE 6210 Abbott Laboratories COM 002824100 908 13246 SH SOLE 13246 Aberdeen Asia Pacific Inc Fd COM 003009107 126 16133 SH SOLE 16133 Accenture Ltd Cl A SHS CLASS A G1151C101 5505 78616 SH SOLE 68093 10523 Altria Group Inc COM 02209s103 9726 291286 SH SOLE 261949 29337 Amercian Express COM 025816109 406 7144 SH SOLE 5644 1500 American Realty Trust COM 02917l101 2815 239760 SH SOLE 234407 5353 Amgen COM 031162100 210 2490 SH SOLE 2490 Anheuser-Busch Inbev SA/NV SPONSORED ADR 03524a108 19158 222997 SH SOLE 196025 26972 Annaly Mortgage Management COM 035710409 554 32914 SH SOLE 32664 250 Anworth Mortgage Asset Corp COM 037347101 68 10000 SH SOLE 10000 AON Corp SHS CL A g0408v102 12940 247457 SH SOLE 219959 27499 Apple Computer COM 037833100 3392 5085 SH SOLE 4913 172 Applied Materials Inc COM 038222105 7240 648479 SH SOLE 557260 91219 Archer-Daniels Midland COM 039483102 8827 324767 SH SOLE 287887 36880 AT&T COM 00206r102 1698 45051 SH SOLE 45051 Bank of America Corp COM 060505104 141 15940 SH SOLE 15940 Bank of New York Mellon COM 064058100 9141 404131 SH SOLE 362748 41383 Berkshire Hathaway Inc Cl A CL A 084670108 1858 14 SH SOLE 14 Berkshire Hathaway Inc Cl B CL B new 084670702 12490 141613 SH SOLE 125680 15933 Blackrock Build America Bond T SHS 09248x100 218 9290 SH SOLE 5730 3560 Blackrock Floating Rate Inc S COM 09255x100 835 55416 SH SOLE 48893 6523 Blackrock Floating Rate Inc T COM 091941104 190 12908 SH SOLE 12908 Blackrock Inc COM 09247x101 7520 42175 SH SOLE 37455 4719 Boeing COM 097023105 229 3290 SH SOLE 3290 Bristol-Myers Squibb Co COM 110122108 383 11354 SH SOLE 11354 British American Tobacco PLC SPONSORED ADR 110448107 7866 76636 SH SOLE 69735 6901 Broadcom Corp CL A 111320107 3552 102747 SH SOLE 102747 Brown Foreman Corp Cl B CL B 115637209 507 7777 SH SOLE 7777 Cablevision System Corp CL A NY CABLVS 12686c109 299 18863 SH SOLE 18529 334 Calamos Strategic Total Ret COM SH BEN INT 128125101 174 17116 SH SOLE 8798 8318 Canadian Natural Resources COM 136385101 8295 269396 SH SOLE 237573 31823 Capstead Mtg Corp COM NO PAR 14067e506 202 15000 SH SOLE 15000 Caterpillar COM 149123101 9857 114562 SH SOLE 101063 13499 CBRE Clarion Global Real Est COM 12504g100 151 17000 SH SOLE 17000 CenturyLink, Inc COM 156700106 2008 49714 SH SOLE 48608 1106 Chevron Corp COM 166764100 3157 27088 SH SOLE 27088 Chimera Investment Corp COM 16934q109 117 43333 SH SOLE 43333 Cisco Systems Inc. COM 17275r102 309 16171 SH SOLE 15650 521 Citigroup Inc COM NEW 172967424 252 7709 SH SOLE 7709 Clorox COM 189054109 589 8175 SH SOLE 8175 Coca Cola COM 191216100 632 16672 SH SOLE 16672 Colgate Palmolive COM 194162103 434 4046 SH SOLE 4046 Colony Financial Inc COM 19624r106 756 38800 SH SOLE 38800 Companhia de Bedidas SPON ADR PFD 20441w203 205 5363 SH SOLE 5257 106 ConocoPhillips COM 20825c104 253 4433 SH SOLE 4433 CVS Corp. COM 126650100 276 5694 SH SOLE 5626 68 DCT Industrial Trust Inc COM 233153105 65 10000 SH sOLE 10000 Dell Inc COM 24702r101 141 14322 SH SOLE 13109 1213 Devon Energy COM 25179m103 6067 100282 SH SOLE 89926 10355 Diageo ADR SPON ADR NEW 25243q205 13332 118263 SH SOLE 102734 15529 Disney Walt Co COM DISNEY 254687106 7529 144011 SH SOLE 126300 17711 Dominion Resources VA COM 25746u109 328 6190 SH SOLE 6190 Doubleline Opportunistic CreditCOM 258623107 812 29998 SH SOLE 20231 9767 Du Pont E I De Nemours COM 263534109 8285 164806 SH SOLE 147129 17677 Edwards Life Sciences COM 28176e108 1034 9631 SH SOLE 9326 305 Eldorado Gold Corp COM 284902103 173 11330 SH SOLE 11330 Eli Lilly & Co. COM 532457108 439 9262 SH SOLE 9262 Emerson Electric COM 291011104 515 10678 SH SOLE 10678 Exelon Corporation COM 30161n101 529 14860 SH SOLE 14860 Express Scripts Inc COM 30219g108 230 3677 SH SOLE 3677 Exxon Mobil Corp COM 30231g102 5972 65306 SH SOLE 64612 694 Frontier Communications COM 35906a108 126 25607 SH SOLE 25607 General Dynamics COM 369550108 9563 144635 SH SOLE 129096 15540 General Electric Company COM 369604103 9502 418428 SH SOLE 376049 42379 General Mills Inc COM 370334104 455 11408 SH SOLE 11408 Goldman Sachs Group Inv COM 38141g104 8099 71248 SH SOLE 63400 7848 Haliburton Company COM 406216101 367 10897 SH SOLE 10897 Heinz H J Co COM 423074103 271 4846 SH SOLE 4846 Home Depot Inc COM 437076102 352 5823 SH SOLE 5823 Int'l Business Machines Corp COM 459200101 18230 87874 SH SOLE 77404 10471 Illinois Tool Works COM 452308109 630 10600 SH SOLE 10600 Invesco Van Kampen Calif Val COM 46132h106 205 14606 SH SOLE 14606 iShares Barclays TIPS Bond BARCLYS TIPS BD 464287176 1198 9842 SH SOLE 137 9705 iShares iBoxx Invest Grade BD IBOXX INV CPBD 464287242 383 3148 SH SOLE 2435 713 iShares MSCI EAFE Index Fund MSCI EAFE IDX 464287465 414 7818 SH SOLE 6969 849 iShares MSCI Emerging Mrkts INDMSCI EMERG MKT 464287234 225 5453 SH SOLE 4452 1001 Johnson & Johnson COM 478160104 13141 190695 SH SOLE 172252 18443 JP Morgan Chase COM 46625h100 254 6281 SH SOLE 6281 Kimberly Clark COM 494368103 216 2518 SH SOLE 2518 Kraft Foods Inc A COM 50075n104 245 5921 SH SOLE 5921 Level 3 Communications COM NEW 52729n308 310 13489 SH SOLE 11653 1836 Live Nation Inc COM 538034109 220 25600 SH SOLE 23057 2543 Lockheed Martin Corp COM 539830109 379 4062 SH SOLE 4032 30 McDonalds Corporation COM 580135101 547 5960 SH SOLE 5960 Merck & Company COM 58933y105 264 5846 SH SOLE 5846 MFA Financial Inc COM 55272x102 103 12143 SH SOLE 12143 Microsoft Corp. COM 594918104 13743 461791 SH SOLE 408969 52821 Morgan Stanley COM NEW 617446448 240 14334 SH SOLE 14334 Motricity COM 620107102 34 68771 SH SOLE 68771 National Oilwell Varco Inc COM 637071101 865 10803 SH SOLE 10803 Nordstrom Inc COM 655664100 276 5000 SH SOLE 5000 Novartis AG ADR SPONSORED ADR 66987v109 13855 226167 SH SOLE 202155 24012 Nucor Corp COM 670346105 546 14279 SH SOLE 14279 Nuveen Build Amercia Bond Fd COM 67074c103 304 14200 SH SOLE 10950 3250 Nuveen Multi-Strategy Inc & Gr COM 67073b106 250 25329 SH SOLE 11897 13432 Nuveen Multi-Strategy Inc & G2 COM SHS 67073d102 186 19174 SH SOLE 3710 15464 Oaktree Capital Group LLC UNIT 99/99/9999 674001201 754 18400 SH SOLE 18400 Occidental Petroleum COM 674599105 9673 112403 SH SOLE 99382 13021 Oracle Corp COM 68389x105 547 17379 SH SOLE 17379 PCM Fund Inc COM 69323t101 10095 813483 SH SOLE 751483 62000 Penn West Energy COM 707887105 262 18406 SH SOLE 18406 Pepsico Inc COM 713448108 12605 178119 SH SOLE 157749 20370 Pfizer Inc. COM 717081103 814 32751 SH SOLE 32751 PG&E Corporation COM 69331c108 563 13183 SH SOLE 13183 Phillip Morris International COM 718172109 17686 196640 SH SOLE 178364 18276 Pimco CA Muni Income Fund III COM 72201c109 1929 165123 SH SOLE 165123 Pimco Income Strategy Fund COM 72201h108 670 50645 SH SOLE 50103 542 Pimco Income Strategy Fund II COM 72201j104 6209 543657 SH SOLE 504678 38979 Potash Corp Sask Inc COM 73755l107 8441 194400 SH SOLE 170431 23969 Powershares DB Cmdty IDX UNIT BEN INT 73935s105 242 8448 SH SOLE 8448 Powershares Emerging Markets SOVEREIGN DEBT 73936t573 206 6706 SH SOLE 6706 PPG Industries Inc COM 693506107 345 3000 SH SOLE 3000 Proctor & Gamble Co COM 742718109 1026 14797 SH SOLE 14797 Public Storage COM 74460d109 363 2611 SH SOLE 2611 Qualcomm Inc COM 747525103 16828 269375 SH SOLE 104774 164601 Regency Centers Corp COM 758849103 694 14250 SH SOLE 14250 Republic Services Inc. COM 760759100 11780 428203 SH SOLE 371032 57171 Retail Opportunity COM 76131n101 807 62700 SH SOLE 60700 2000 Royal Dutch Shell Plc SPON ADR A 780259206 233 3358 SH SOLE 3358 Rubicon Minerals corp COM 780911103 52 14000 SH SOLE 14000 S&P Dep Receipts Trust Ser I UNIT SER I 78462f103 1774 12322 SH SOLE 11673 649 Schlumberger Ltd COM 806857108 457 6322 SH SOLE 6322 Source Capital inc COM 836144105 248 4767 SH SOLE 4680 87 SPDR BarCap St CAP S/T HI YLD 78468r408 350 11514 SH SOLE 11514 SPDR Gold Trust GOLD SHS 78463v107 1110 6459 SH SOLE 6459 SPDR S&P Dividend S&P DIVID ETF 78464a763 254 4364 SH SOLE 4364 Sprott Physical Gold Trust UNIT 85207h104 220 14489 SH SOLE 14489 Starbucks Corp COM 855244109 286 5641 SH SOLE 5156 485 Starwood Property Trust COM 85571b105 1475 63400 SH SOLE 62400 1000 Suncor Energy Inc COM 867224107 5632 171443 SH SOLE 153443 18000 Teva Pharmeceutical ADR 881624209 10750 259592 SH SOLE 234217 25375 Texas Instruments COM 882508104 435 15796 SH SOLE 15796 The Charles Scwhab Corp COM 808513105 229 17929 SH SOLE 17596 333 Total S A Spon ADR SPONSORED ADR 89151E109 666 13300 SH SOLE 13300 Two Harbors Investment Corp COM 90187b101 123 10470 SH SOLE 10470 United Parcel Service CL B CL B 911312106 10132 141572 SH SOLE 127369 14204 United Technologies Corp COM 913017109 371 4745 SH SOLE 4745 Vanguard Dividend Appreciation DIV APP ETF 921908844 571 9573 SH SOLE 9573 Ventas Inc COM 92276f100 528 8474 SH SOLE 8474 Verizon Communications COM 92343v104 420 9207 SH SOLE 9207 Wells Fargo & Co COM 949746101 550 15940 SH SOLE 15940 Wells Fargo Multi-Sect Inc FD COM SHS 94987d101 1997 122462 SH SOLE 104541 17921 Western Union Co COM 959802109 10320 566390 SH SOLE 492813 73577 Willis Group Holdings SHS g96666105 230 6224 SH SOLE 6107 117 World Wrestling Entertainment CL A 98156q108 230 28593 SH SOLE 28061 532