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Livermore
Livermore
ZHEN

First Foundation Advisors

SEC CIK
0001086763
Latest filing
Aug 14, 2026

Holdings in Q1 2023

Holdings as of Mar 31, 2023, filed May 12, 2023. Long positions only; changes compare share counts with Q4 2022.

Institution overview
Positions
391
−9 vs. Q4 2022
Portfolio value
$2.17B
+$86.8M (+4.2%) vs. Q4 2022
Filed
May 12, 2023
SEC
Holdings of First Foundation Advisors in Q1 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
GOEVCanoo Inc.COM CL A10,980$7.17K<0.1%00.0%UnchangedHistory
REAXReal REMAX Group Inc.COM NEW10,000$12.1K<0.1%00.0%UnchangedHistory
PIMFranklin Master Intermediate Income TrustSH BEN INT15,000$47.7K<0.1%00.0%UnchangedHistory
EVFEaton Vance Senior Income TrustSH BEN INT10,000$53.5K<0.1%00.0%UnchangedHistory
TRXTRX GOLD CorpCOM117,371$56.6K<0.1%00.0%UnchangedHistory
MTTRMatterport, Inc.COM CL A20,876$57.0K<0.1%00.0%UnchangedHistory
PPTFranklin Premier Income TrustSH BEN INT16,625$59.2K<0.1%00.0%UnchangedHistory
JQCNuveen Credit Strategies Income FundCOM SHS13,000$66.4K<0.1%−2,300−15.0%ReducedHistory
CRMDCorMedix Inc.COM16,640$68.9K<0.1%00.0%UnchangedHistory
PCKPIMCO California Municipal Income Fund IICOM12,761$79.1K<0.1%00.0%UnchangedHistory
JOBYJoby Aviation, Inc.COMMON STOCK21,000$91.1K<0.1%00.0%UnchangedHistory
AWINAERWINS Technologies Inc.COMMON STOCK100,000$94.0K<0.1%+100,000NewHistory
NMZNuveen Municipal High Income Opportunity FundCOM10,000$108.0K<0.1%00.0%UnchangedHistory
ONLOrion Properties Inc.REIT16,139$108.1K<0.1%−3,549−18.0%ReducedHistory
CEVEaton Vance California Municipal Income TrustSH BEN INT10,733$109.8K<0.1%00.0%UnchangedHistory
NZFNuveen Municipal Credit Income FundCOM SH BEN INT10,087$120.5K<0.1%+38+0.4%AddedHistory
PLUGPlug Power IncStock10,599$124.2K<0.1%00.0%UnchangedHistory
BFZBlackRock California Municipal Income TrustSH BEN INT11,628$136.0K<0.1%+81+0.7%AddedHistory
WDIWestern Asset Diversified Income Fund (WDI)COM SHS BEN INT10,267$136.6K<0.1%00.0%UnchangedHistory
AFTApollo Senior Floating Rate Fund Inc.COM11,018$139.2K<0.1%00.0%UnchangedHistory
NBWNeuberger Berman California Municipal Fund Inc.COM12,705$141.3K<0.1%−3,845−23.2%ReducedHistory
BTZBlackRock Credit Allocation Income TrustCOM14,615$150.4K<0.1%00.0%UnchangedHistory
RTLNecessity Retail REIT, Inc.COM CLASS A25,820$162.2K<0.1%00.0%UnchangedHistory
PACWPacwest BancorpCOM17,042$165.8K<0.1%−50−0.3%ReducedHistory
PCMPCM Fund, Inc.COM19,854$167.2K<0.1%−4,591−18.8%ReducedHistory
NREFNexPoint Real Estate Finance, Inc.COM10,987$172.2K<0.1%+10,987NewHistory
EVVEaton Vance Ltd Duration Income FundCOM18,611$183.3K<0.1%00.0%UnchangedHistory
FFord Motor CoStock15,915$200.5K<0.1%−316−1.9%ReducedHistory
ARDCAres Dynamic Credit Allocation Fund, Inc.COM16,798$201.1K<0.1%00.0%UnchangedHistory
PFNPIMCO Income Strategy Fund IICOM28,709$205.8K<0.1%+2,490+9.5%AddedHistory
CNCCentene CorpStock3,266$206.4K<0.1%−230−6.6%ReducedHistory
KYNKayne Anderson Energy Infrastructure Fund, Inc.COM23,987$207.2K<0.1%−421−1.7%ReducedHistory
DIASPDR Dow Jones Industrial Average ETF TrustUT SER 1629$209.2K<0.1%00.0%UnchangedHistory
JCIJohnson Controls International plcStock3,476$209.3K<0.1%−281−7.5%ReducedHistory
ORLYO Reilly Automotive IncStock248$210.5K<0.1%−25−9.2%ReducedHistory
iShares Tr464287630RUS 2000 VAL ETF1,539$210.8K<0.1%−503−24.6%Reduced–
Schwab U.S. Large-Cap Value ETF808524409ETF3,237$212.3K<0.1%+3,237New–
RBARB Global Inc.COM3,804$214.1K<0.1%+3,804NewHistory
MNSTMonster Beverage CorpCOM3,966$214.2K<0.1%−256−6.1%ReducedConverted for a 2-for-1 splitHistory
FRABlackRock Floating Rate Income Strategies Fund, Inc.COM18,324$214.4K<0.1%−5,853−24.2%ReducedHistory
Vanguard Dividend Appreciation ETF921908844ETF1,393$214.5K<0.1%−349−20.0%Reduced–
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund72201R833ETF2,170$215.3K<0.1%−2,660−55.1%Reduced–
FISFidelity National Information Services, Inc.Stock3,998$217.2K<0.1%−5,820−59.3%ReducedHistory
Vanguard Intermediate-Term Corporate Bond ETF92206C870ETF2,716$217.8K<0.1%−730−21.2%Reduced–
MUCBlackRock Muniholdings California Quality Fund, Inc.CEF19,842$219.5K<0.1%00.0%UnchangedHistory
BCEBce IncCOM NEW4,914$220.1K<0.1%−206−4.0%ReducedHistory
Schwab Fundamental U.S. Large Company ETF808524771ETF4,062$223.1K<0.1%+265+7.0%Added–
Vanguard Morningstar Small-Cap Value ETF922908611ETF1,423$225.9K<0.1%+126+9.7%Added–
HUMHumana IncStock466$226.2K<0.1%+466NewHistory
State Street Health Care Select Sector SPDR ETF81369Y209ETF1,774$229.6K<0.1%+1,774New–
CDNSCadence Design Systems IncStock1,104$231.9K<0.1%+1,104NewHistory
BDXBecton Dickinson & CoStock953$235.9K<0.1%+21+2.3%AddedHistory
FMCFMC CorpCOM NEW1,934$236.2K<0.1%+1,934NewHistory
DUKDuke Energy CORPStock2,456$236.9K<0.1%−50−2.0%ReducedHistory
USBUS Bancorp DECOM NEW6,601$238.0K<0.1%−891−11.9%ReducedHistory
Nushares ETF Tr67092P508NUVEEN ESG MIDVL8,299$238.2K<0.1%00.0%Unchanged–
SWAVShockwave Medical, Inc.COM1,104$239.4K<0.1%−8−0.7%ReducedHistory
UUnity Software Inc.COM7,446$241.5K<0.1%+7,446NewHistory
OCSLOaktree Specialty Lending CorpCOM12,949$243.1K<0.1%00.0%UnchangedConverted for a 1-for-3 splitHistory
MCOMoodys CorpStock795$243.3K<0.1%−67−7.8%ReducedHistory
OTISOtis Worldwide CorpStock2,883$243.3K<0.1%+60+2.1%AddedHistory
FDXFedEx CorpStock1,066$243.6K<0.1%+1,066NewHistory
NVGNuveen AMT-Free Municipal Credit Income FundCEF20,741$244.3K<0.1%+29+0.1%AddedHistory
Invesco Exch Traded FD Tr II46138E362S&P500 HDL VOL5,797$244.7K<0.1%−230−3.8%Reduced–
GMGeneral Motors CoCOM6,688$245.3K<0.1%+25+0.4%AddedHistory
SWKSSkyworks Solutions, Inc.Stock2,094$247.1K<0.1%+2,094NewHistory
MDYSPDR S&P Midcap 400 ETF TrustETF544$249.4K<0.1%+544NewHistory
DXCMDexcom IncCOM2,157$250.6K<0.1%−499−18.8%ReducedHistory
MRSHMarsh & McLennan Companies, Inc.Stock1,510$251.5K<0.1%−381−20.1%ReducedHistory
GSBDGoldman Sachs BDC, Inc.SHS18,520$252.8K<0.1%−55−0.3%ReducedHistory
Invesco Exch Traded FD Tr II46138E206CALIF AMT MUN10,353$256.4K<0.1%+10,353New–
First Tr Exch Traded FD III33740J203EQUITY MARKET NE12,792$257.4K<0.1%+12,792New–
CARRCarrier Global CorpStock5,644$258.2K<0.1%+267+5.0%AddedHistory
OKEONEOK IncCOM4,071$258.7K<0.1%+7+0.2%AddedHistory
PPGPPG Industries IncStock1,944$259.7K<0.1%−697−26.4%ReducedHistory
Schwab International Equity ETF808524805ETF7,549$262.7K<0.1%+466+6.6%Added–
TMUST-Mobile US, Inc.Stock1,815$262.9K<0.1%+1,815NewHistory
NOVNOV Inc.COM14,429$267.1K<0.1%−55−0.4%ReducedHistory
VRTXVertex Pharmaceuticals IncStock851$268.1K<0.1%+9+1.1%AddedHistory
Nushares ETF Tr67092P409NUVEEN ESG MIDCP7,024$268.5K<0.1%−161−2.2%Reduced–
TSITCW Strategic Income Fund IncCOM57,938$271.1K<0.1%−9,376−13.9%ReducedHistory
ECLEcolab Inc.Stock1,650$273.1K<0.1%−289−14.9%ReducedHistory
PGRProgressive CorpStock1,921$274.8K<0.1%+331+20.8%AddedHistory
CTOCTO Realty Growth, Inc.COM15,923$274.8K<0.1%−289−1.8%ReducedHistory
FASTFastenal CoStock5,164$278.5K<0.1%+264+5.4%AddedHistory
ALLAllstate CorpStock2,525$279.8K<0.1%+1,009+66.6%AddedHistory
CLColgate Palmolive CoStock3,738$280.9K<0.1%+221+6.3%AddedHistory
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP5,196$281.9K<0.1%00.0%UnchangedHistory
AALAmerican Airlines Group Inc.Stock19,302$284.7K<0.1%+720+3.9%AddedHistory
NEANuveen AMT-Free Quality Municipal Income FundCOM25,614$284.8K<0.1%00.0%UnchangedHistory
BBNBlackRock Taxable Municipal Bond TrustSHS15,989$286.5K<0.1%00.0%UnchangedHistory
CICigna GroupStock1,123$287.0K<0.1%−3,045−73.1%ReducedHistory
ADSKAutodesk, Inc.COM1,391$289.6K<0.1%+308+28.4%AddedHistory
GDGeneral Dynamics CorpStock1,306$298.0K<0.1%+64+5.2%AddedHistory
PAYXPaychex IncStock2,601$298.0K<0.1%+228+9.6%AddedHistory
KMFKayne Anderson NextGen Energy & Infrastructure, Inc.COM38,977$299.3K<0.1%+10.0%AddedHistory
First Rep BK San Francisco C33616C100COM21,806$305.1K<0.1%+19,930+1,062.4%Added–
NSCNorfolk Southern CorpStock1,455$308.5K<0.1%−2−0.1%ReducedHistory
iShares Inc46434G863ESG AWR MSCI EM9,948$313.2K<0.1%00.0%Unchanged–
SPDR Index Shs FDS78463X855S&P GBLINF ETF5,804$316.1K<0.1%−5,988−50.8%Reduced–

Sold out since Q4 2022 (31)

Positions held at the end of Q4 2022 that are gone from this filing.

Positions of First Foundation Advisors sold out since Q4 2022
SecurityClassShares in Q4 2022Value in Q4 2022% of portfolio in Q4 2022History
BAMBrookfield Asset Management Ltd.CL A LMT VTG SHS65,313$1.87M0.1%History
MLMMartin Marietta Materials IncCOM5,300$1.79M0.1%History
State Street Communication Services Select Sector SPDR ETF81369Y852ETF26,801$1.29M0.1%–
TDWTidewater IncCOM32,227$1.19M0.1%History
iShares U.S. Medical Devices ETF464288810ETF17,031$895.3K<0.1%–
ProShares Tr74347G705ULTRA ENERGY18,463$784.7K<0.1%–
ProShares Tr74347R107PSHS ULT S&P 50016,267$723.1K<0.1%–
WBAWalgreens Boots Alliance, Inc.COM16,613$620.6K<0.1%History
Flexshares Tr33939L795STOXX GLOBR INF10,725$540.6K<0.1%–
Schwab U.S. Large-Cap Growth ETF808524300ETF8,118$451.1K<0.1%–
Ssga Active ETF Tr78467V608ST STR BL LN ETF10,407$425.6K<0.1%–
New York Life Investments Et45409B800MERGE ARBIT ETF12,403$393.5K<0.1%–
ProShares Tr74347R206PSHS ULTRA QQQ11,209$392.8K<0.1%–
ISDPGIM High Yield Bond Fund, Inc.COM27,662$328.3K<0.1%History
ALNYAlnylam Pharmaceuticals, Inc.COM1,377$327.2K<0.1%History
PPLTabrdn Platinum ETF TrustPHYSCL PLATM SHS2,794$277.4K<0.1%History
Vanguard Mortgage-Backed Securities ETF92206C771ETF5,709$259.9K<0.1%–
GPCGenuine Parts CoStock1,428$247.8K<0.1%History
LNTAlliant Energy CorpStock4,314$238.2K<0.1%History
DGDollar General CorpCOM959$236.2K<0.1%History
GBCIGlacier Bancorp, Inc.COM4,524$223.6K<0.1%History
CBChubb LtdStock1,005$221.7K<0.1%History
ADMArcher-Daniels-Midland CoStock2,287$212.3K<0.1%History
TFCTruist Financial CorpCOM4,885$210.2K<0.1%History
CVBFCVB Financial CorpCOM8,123$209.2K<0.1%History
iShares Tr464287515EXPANDED TECH816$208.8K<0.1%–
CCICrown Castle Inc.REIT1,502$203.7K<0.1%History
VMRKVivmark ResidentialSH BEN INT3,448$203.4K<0.1%History
WBDWarner Bros. Discovery, Inc.Stock11,198$106.2K<0.1%History
DCDakota Gold Corp.COM17,658$53.9K<0.1%History
MMTAberdeen Multi-Market Income FundSH BEN INT11,392$51.4K<0.1%History