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Livermore
Livermore
ZHEN

First Foundation Advisors

SEC CIK
0001086763
Latest filing
Aug 14, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 15, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
441
−7 vs. Q2 2021
Portfolio value
$2.68B
+$82.2M (+3.2%) vs. Q2 2021
Filed
Nov 15, 2021
SEC
Holdings of First Foundation Advisors in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
Rivernorth Doubleline Strate76882G156RIGHT 10/01/2021136,754$1.00K<0.1%+136,754New–
Eros STX Global CorporationG3788M114SHS NEW25,745$24.0K<0.1%+14,500+128.9%Added–
OXSQOxford Square Capital Corp.COM10,126$41.0K<0.1%00.0%UnchangedHistory
TRXTRX GOLD CorpCOM117,371$58.0K<0.1%00.0%UnchangedHistory
SPRUSpruce Power Holding CorpCOM CL A10,200$63.0K<0.1%00.0%UnchangedHistory
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT21,545$80.0K<0.1%−500−2.3%ReducedHistory
VVRInvesco Senior Income TrustCOM22,476$100.0K<0.1%−66,873−74.8%ReducedHistory
Apollo Coml Real Est Fin Inc03762UAB1NOTE 4.750% 8/2–$101.0K<0.1%–––
FCTFirst Trust Senior Floating Rate Income Fund IICOM10,066$123.0K<0.1%−23,009−69.6%ReducedHistory
Nuveen PFD & Incm Securties67072C105COM14,544$143.0K<0.1%−47,624−76.6%Reduced–
NOVNOV Inc.COM11,265$148.0K<0.1%+305+2.8%AddedHistory
NADNuveen Quality Municipal Income FundCOM10,771$168.0K<0.1%−1,606−13.0%ReducedHistory
Nuveen Intermediate Duration Quality Municipal Term Fund670677103COM11,528$169.0K<0.1%−1,243−9.7%Reduced–
MMTAberdeen Multi-Market Income FundSH BEN INT27,935$183.0K<0.1%−261,494−90.3%ReducedHistory
ETEnergy Transfer LPCOM UT LTD PTN20,106$193.0K<0.1%−1,000−4.7%ReducedHistory
IQIInvesco Quality Municipal Income TrustCOM14,803$195.0K<0.1%−23,249−61.1%ReducedHistory
MDYSPDR S&P Midcap 400 ETF TrustETF419$201.0K<0.1%00.0%UnchangedHistory
RGENRepligen CorpCOM710$205.0K<0.1%+710NewHistory
EPDEnterprise Products Partners L.P.Stock9,559$207.0K<0.1%00.0%UnchangedHistory
Schwab U.S. Small-Cap ETF808524607ETF2,071$207.0K<0.1%−143−6.5%Reduced–
LAZRQLuminar Technologies, Inc.COM CL A13,300$207.0K<0.1%00.0%UnchangedHistory
RTLNecessity Retail REIT, Inc.COM CLASS A26,008$209.0K<0.1%+203+0.8%AddedHistory
Vanguard Dividend Appreciation ETF921908844ETF1,369$210.0K<0.1%−149−9.8%Reduced–
Hartford FDS Exchange Traded41653L305TOTAL RTRN ETF5,160$210.0K<0.1%+5,160New–
Oaktree Acquisition Corp IIG6715X103CL A SHS21,500$211.0K<0.1%00.0%Unchanged–
PTYPIMCO Corporate & Income Opportunity FundCOM11,628$213.0K<0.1%−6,777−36.8%ReducedHistory
ETNEaton Corp plcStock1,435$214.0K<0.1%+1,435NewHistory
Vanguard Intermediate-Term Bond ETF921937819ETF2,405$215.0K<0.1%00.0%Unchanged–
BTZBlackRock Credit Allocation Income TrustCOM14,204$215.0K<0.1%−142,893−91.0%ReducedHistory
ORLYO Reilly Automotive IncStock353$216.0K<0.1%+353NewHistory
MDBMongoDB, Inc.CL A459$216.0K<0.1%+459NewHistory
BUIBlackRock Utilities, Infrastructure & Power Opportunities TrustCOM8,578$216.0K<0.1%−3,158−26.9%ReducedHistory
Royal Dutch Shell PLC780259107SPON ADR B4,890$216.0K<0.1%+4,890New–
Khosla Ventures Acquisition482504107CL A22,000$217.0K<0.1%00.0%Unchanged–
WisdomTree Tr97717X628FLOATNG RAT TREA8,664$217.0K<0.1%00.0%Unchanged–
MARMarriott International IncStock1,474$218.0K<0.1%+1,474NewHistory
FASTFastenal CoStock4,230$218.0K<0.1%+232+5.8%AddedHistory
MCOMoodys CorpStock615$218.0K<0.1%+38+6.6%AddedHistory
PFNPIMCO Income Strategy Fund IICOM21,608$219.0K<0.1%−7,924−26.8%ReducedHistory
AXONAxon Enterprise, Inc.COM1,257$220.0K<0.1%−18−1.4%ReducedHistory
EQIXEquinix IncCOM278$220.0K<0.1%+278NewHistory
Schwab U.S. Large-Cap Value ETF808524409ETF3,314$224.0K<0.1%+3,314New–
KKR Acquisition Holding I Co48253T208UNIT 99/99/999922,500$225.0K<0.1%00.0%Unchanged–
EAElectronic Arts Inc.COM1,587$226.0K<0.1%−309−16.3%ReducedHistory
OKTAOkta, Inc.CL A958$227.0K<0.1%−4−0.4%ReducedHistory
GHYPGIM Global High Yield Fund, Inc.COM14,823$228.0K<0.1%+3,196+27.5%AddedHistory
NZFNuveen Municipal Credit Income FundCOM SH BEN INT13,650$228.0K<0.1%+35+0.3%AddedHistory
FFord Motor CoStock16,227$230.0K<0.1%−671−4.0%ReducedHistory
CLColgate Palmolive CoStock3,046$230.0K<0.1%−128−4.0%ReducedHistory
RNPCohen & Steers REIT & Preferred & Income Fund IncCOM8,953$230.0K<0.1%−10,692−54.4%ReducedHistory
PAYXPaychex IncStock2,063$232.0K<0.1%+97+4.9%AddedHistory
ALKAlaska Air Group, Inc.COM3,957$232.0K<0.1%−720−15.4%ReducedHistory
SRESempraStock1,839$233.0K<0.1%+71+4.0%AddedHistory
SYKStryker CorpStock893$236.0K<0.1%+41+4.8%AddedHistory
DGDollar General CorpCOM1,127$239.0K<0.1%+1,127NewHistory
PHGKoninklijke Philips NVNY REGIS SHS NEW5,408$240.0K<0.1%−156,786−96.7%ReducedHistory
SIVBSVB Financial GroupCOM373$241.0K<0.1%+6+1.6%AddedHistory
Invesco Exch Traded FD Tr II46138E362S&P500 HDL VOL5,797$245.0K<0.1%00.0%Unchanged–
USBUS Bancorp DECOM NEW4,125$245.0K<0.1%+4,125NewHistory
BLWBlackRock Ltd Duration Income TrustCOM SHS14,457$247.0K<0.1%−98,160−87.2%ReducedHistory
GSKGSK plcSPONSORED ADR6,465$247.0K<0.1%−4,603−41.6%ReducedHistory
SPDR Index Shs FDS78463X103PORTFLO EURP ETF6,059$247.0K<0.1%00.0%Unchanged–
NBBNuveen Taxable Municipal Income FundCOM10,825$248.0K<0.1%−110,673−91.1%ReducedHistory
RLIRli CorpCOM2,487$249.0K<0.1%+32+1.3%AddedHistory
PODDInsulet CorpStock878$250.0K<0.1%+138+18.6%AddedHistory
MELIMercadolibre IncCOM149$250.0K<0.1%00.0%UnchangedHistory
BXBlackstone Inc.COM2,147$250.0K<0.1%+2,147NewHistory
BXMTBlackstone Mortgage Trust, Inc.COM CL A8,411$255.0K<0.1%+8,411NewHistory
JPMorgan Chase & Co46625H365ALERIAN ML ETN14,030$255.0K<0.1%00.0%Unchanged–
COINCoinbase Global, Inc.COM CL A1,125$256.0K<0.1%+19+1.7%AddedHistory
SPDR Series Trust78464A763ST STR SP DIV2,175$256.0K<0.1%−500−18.7%Reduced–
ZSZscaler, Inc.Stock984$258.0K<0.1%−30−3.0%ReducedHistory
LDPCohen & Steers Ltd Duration Preferred & Income Fund, Inc.COM9,475$258.0K<0.1%−5,361−36.1%ReducedHistory
NLYAnnaly Capital Management IncCOM30,629$258.0K<0.1%−1,840−5.7%ReducedHistory
MSMorgan StanleyStock2,663$259.0K<0.1%+59+2.3%AddedHistory
JQCNuveen Credit Strategies Income FundCOM SHS39,591$260.0K<0.1%−35,983−47.6%ReducedHistory
ZBRAZebra Technologies CorpCL A504$260.0K<0.1%−1,094−68.5%ReducedHistory
PPLTabrdn Platinum ETF TrustPHYSCL PLATM SHS2,908$262.0K<0.1%00.0%UnchangedHistory
GWWW.W. Grainger, Inc.Stock670$263.0K<0.1%+4+0.6%AddedHistory
ETSYEtsy IncCOM1,263$263.0K<0.1%+41+3.4%AddedHistory
TFCTruist Financial CorpCOM4,490$263.0K<0.1%+4,490NewHistory
iShares S&P 500 Value ETF464287408ETF1,826$266.0K<0.1%−166−8.3%Reduced–
SHOPShopify Inc.Stock198$268.0K<0.1%+4+2.1%AddedHistory
WPCW. P. Carey Inc.COM3,753$274.0K<0.1%+80+2.2%AddedHistory
WIXWix.com Ltd.SHS1,398$274.0K<0.1%00.0%UnchangedHistory
GDGeneral Dynamics CorpStock1,412$277.0K<0.1%+1,412NewHistory
iShares Tr464288513IBOXX HI YD ETF3,221$282.0K<0.1%+36+1.1%Added–
FVRRFiverr International Ltd.ORD SHS1,546$282.0K<0.1%−77−4.7%ReducedHistory
ODFLOld Dominion Freight Line, Inc.COM992$284.0K<0.1%+148+17.5%AddedHistory
VTAInvesco Dynamic Credit Opportunities FundCOM24,261$284.0K<0.1%−14,851−38.0%ReducedHistory
NOCNorthrop Grumman CorpStock800$288.0K<0.1%−52−6.1%ReducedHistory
NVGNuveen AMT-Free Municipal Credit Income FundCEF17,171$294.0K<0.1%+26+0.2%AddedHistory
IIMInvesco Value Municipal Income TrustCOM18,084$295.0K<0.1%−6,162−25.4%ReducedHistory
OPRXOptimizeRx CorpCOM NEW3,457$296.0K<0.1%+123+3.7%AddedHistory
Nuveen Calif Select Tax Free67063R103SH BEN INT19,352$305.0K<0.1%−47,948−71.2%Reduced–
AMDAdvanced Micro Devices IncStock2,997$308.0K<0.1%+642+27.3%AddedHistory
GISGeneral Mills IncStock5,160$309.0K<0.1%+450+9.6%AddedHistory
Schwab International Equity ETF808524805ETF8,006$310.0K<0.1%+1,753+28.0%Added–
iShares Core Dividend Growth ETF46434V621ETF6,200$311.0K<0.1%+500+8.8%Added–
JJacobs Solutions Inc.COM2,380$315.0K<0.1%−119−4.8%ReducedHistory

Sold out since Q2 2021 (36)

Positions held at the end of Q2 2021 that are gone from this filing.

Positions of First Foundation Advisors sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
PCGPG&E CorpStock955,450$9.72M0.4%History
BHKBlackRock Core Bond TrustSHS BEN INT202,405$3.34M0.1%History
LBTYALiberty Global Ltd.SHS CL A52,600$1.43M0.1%History
VEEVVeeva Systems IncStock3,674$1.14M<0.1%History
WDAYWorkday, Inc.CL A4,226$1.01M<0.1%History
BITBlackRock Multi-Sector Income TrustCOM47,569$888.0K<0.1%History
PGRProgressive CorpStock8,643$849.0K<0.1%History
MKTXMarketaxess Holdings IncCOM1,658$769.0K<0.1%History
JPCNuveen Preferred & Income Opportunities FundCOM70,465$703.0K<0.1%History
WisdomTree Tr97717X669US QTLY DIV GRT8,339$498.0K<0.1%–
Sandstorm Gold Ltd Com New80013R206Stock55,909$441.0K<0.1%–
RQICohen & Steers Quality Income Realty Fund IncCEF27,340$430.0K<0.1%History
EQCEQC Liquidating TrustCOM SH BEN INT15,530$407.0K<0.1%History
CGAUCenterra Gold Inc.COM49,400$377.0K<0.1%History
LVSLas Vegas Sands CorpCOM5,550$292.0K<0.1%History
MLMMartin Marietta Materials IncCOM817$287.0K<0.1%History
Fidelity MSCI Information Technology Index ETF316092808ETF2,347$276.0K<0.1%–
MLPMaui Land & Pineapple Co IncCOM25,000$268.0K<0.1%History
PINSPinterest, Inc.CL A3,282$259.0K<0.1%History
BUDAnheuser-Busch InBev SA/NVADR3,445$248.0K<0.1%History
ProShares Tr74347B201PSHS ULTSH 20YRS12,945$244.0K<0.1%–
Global X FDS37954Y483NASDAQ 100 COVER10,544$236.0K<0.1%–
EFTEaton Vance Floating-Rate Income TrustCOM15,665$225.0K<0.1%History
New York Life Investments Et45409B800MERGE ARBIT ETF6,651$223.0K<0.1%–
State Street Industrial Select Sector SPDR ETF81369Y704ETF2,091$214.0K<0.1%–
ProShares Tr74347B383ULTRASHRT S&P50023,500$212.0K<0.1%–
QTSQTS Realty Trust, Inc.COM CL A2,735$211.0K<0.1%History
KFKorea Fund IncCOM NEW4,501$208.0K<0.1%History
DIASPDR Dow Jones Industrial Average ETF TrustUT SER 1600$207.0K<0.1%History
FDXFedEx CorpStock688$205.0K<0.1%History
iShares Russell 2000 Growth ETF464287648ETF657$205.0K<0.1%–
iShares Tr464287184CHINA LG-CAP ETF4,426$205.0K<0.1%–
Invesco S&P 500 Equal Weight Technology ETF46137V282ETF693$201.0K<0.1%–
iShares Tr464288588MBS ETF1,855$201.0K<0.1%–
WBAWalgreens Boots Alliance, Inc.COM3,827$201.0K<0.1%History
IAGIamgold CorpCOM44,665$132.0K<0.1%History