First Foundation Advisors
SEC-registered
Insurance-Affiliated · Mid-sized ($1B–$10B)
CRD 106075
· SEC file 801-35973
· Irvine, CA
· www.linkedin.com
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ADV data as of Jul 29, 2026
- Regulatory AUM
- $5.1B
- Discretionary
- $5.0B
- Clients
- 1,316
- Avg AUM / client
- $3.8M
- Accounts
- 3,373
- Employees
- 57
AUM over time
$2.0B
$5.7B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 29, 2026
Investments (13F portfolio — 334 positions, $2,483,663,003)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Microsoft Corp | COM | $369,868,726 | 999,186 | 14.9% | 7.3% |
| 2 | Ishares Tr | CORE S&P500 ETF | $193,403,954 | 296,082 | 7.79% | 3.82% |
| 3 | Alphabet Inc | CAP STK CL C | $109,707,355 | 382,442 | 4.42% | 2.17% |
| 4 | Ishares Tr | CORE MSCI EAFE | $99,526,468 | 1,099,376 | 4.01% | 1.97% |
| 5 | J P Morgan Exchange Traded F | EQUITY PREMIUM | $89,330,745 | 1,576,054 | 3.6% | 1.76% |
| 6 | Vaneck Etf Trust | MRNGSTR WDE MOAT | $71,887,875 | 743,411 | 2.89% | 1.42% |
| 7 | Apple Inc | COM | $71,856,454 | 283,134 | 2.89% | 1.42% |
| 8 | Amazon Com Inc | COM | $60,236,683 | 289,224 | 2.43% | 1.19% |
| 9 | Goldman Sachs Etf Tr | ACTIVEBETA US LG | $57,445,267 | 459,085 | 2.31% | 1.13% |
| 10 | Ishares Inc | CORE MSCI EMKT | $53,889,024 | 772,603 | 2.17% | 1.06% |
| 11 | Ishares Tr | RUS MID CAP ETF | $53,846,340 | 553,804 | 2.17% | 1.06% |
| 12 | Berkshire Hathaway Inc Del | CL B NEW | $50,460,958 | 105,303 | 2.03% | 1.0% |
| 13 | Goldman Sachs Etf Tr | ACTIVEBETA INT | $44,185,693 | 1,024,477 | 1.78% | 0.87% |
| 14 | Goldman Sachs Etf Tr | ACTIVEBETA US | $38,446,409 | 515,730 | 1.55% | 0.76% |
| 15 | Advanced Micro Devices Inc | COM | $36,917,867 | 181,477 | 1.49% | 0.73% |
| 16 | Nvidia Corporation | COM | $34,956,599 | 200,439 | 1.41% | 0.69% |
| 17 | Invesco Exchange Traded Fd T | RAFI US 1500 | $34,811,310 | 758,912 | 1.4% | 0.69% |
| 18 | Ishares Tr | RUSSELL 2000 ETF | $31,767,972 | 128,097 | 1.28% | 0.63% |
| 19 | Ishares Gold Tr | ISHARES NEW | $30,659,668 | 347,773 | 1.23% | 0.61% |
| 20 | Jpmorgan Chase & Co | COM | $29,260,454 | 99,471 | 1.18% | 0.58% |
| 21 | Amphenol Corp | CL A | $21,318,128 | 168,723 | 0.86% | 0.42% |
| 22 | Ishares Tr | CALIF MUN BD ETF | $20,283,794 | 356,732 | 0.82% | 0.4% |
| 23 | Schwab Charles Corp | COM | $18,364,626 | 195,410 | 0.74% | 0.36% |
| 24 | Ishares Tr | RUS 1000 GRW ETF | $18,176,309 | 42,627 | 0.73% | 0.36% |
| 25 | Goldman Sachs Etf Tr | ACTIVEBETA EME | $17,568,556 | 406,680 | 0.71% | 0.35% |
Top 25 of 334 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 430 | $235M | 4.63% |
| High net worth individuals | 623 | $3.5B | 69.0% |
| Banking or thrift institutions | 157 | $483M | 9.54% |
| Investment companies | 1 | $144M | 2.84% |
| Charitable organizations | 30 | $315M | 6.22% |
| Corporations and other businesses | 57 | $345M | 6.81% |
| Other | 18 | $47.1M | 0.93% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Scpmg Keogh Plan Southern California Permanente Medical Group | 2024 | |
| Saul Ewing Retirement Plan Saul Ewing Llp | 2024 | |
| United Airlines Pilot Retirement Account Plan United Airlines, Inc. | 2024 |
People (28)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Bruce, Gregory, Steven | Chief Compliance Officer | Jan 2004 (23y) | Less than 5% | |
| John Avak Hakopian | President/Co Chief Investment Officer | Jun 2009 (17y) | Less than 5% | |
| Chan, Andrew, Hao En | Co Chief Investment Officer | Apr 2023 (3y) | Less than 5% | |
| Britton, James, Michael | Chief Financial Officer | Aug 2023 (3y) | Less than 5% | |
| Neil Christopher Amor | Registered representative | CFA | Apr 2003 (23y) | |
| Benjamin Darrow Thornhill | Registered representative | CFP | Apr 2004 (22y) | |
| Jennifer Kathryn Cagle | Registered representative | CFP | Nov 2013 (13y) | |
| Mark David Stuart Arblaster | Registered representative | CFP | Nov 2013 (13y) | |
| Roger Bruce Palley | Registered representative | CFA | Nov 2013 (13y) | |
| Lindsey Ann Hess | Registered representative | CFP | Oct 2015 (11y) | |
| Joseph Anthony Raszewski | Registered representative | Dec 2016 (10y) | ||
| Michelle Bao Chieu Nguyen | Registered representative | CFP | Jan 2021 (6y) | |
| Ara Moses Abajian | Registered representative | CFA | Apr 2022 (4y) | |
| William Bryant Pierrepont | Registered representative | Oct 2022 (4y) | ||
| Stephen J Wiechert | Registered representative | CFP | Sep 2024 (2y) | |
| Andrea Helene Matolo | Registered representative | CFA | Oct 2024 (2y) | |
| Calvin Tekeim Jones | Registered representative | CFA | Jan 2025 (2y) | |
| Marc Tomaneng Cosico | Registered representative | Apr 2025 (1y) | ||
| Roger Sanford Stinnett | Registered representative | CFP Personal Financial Specialist | Apr 2025 (1y) | |
| Eric H Speron | Registered representative | CFA | May 2025 (1y) | |
| Rachel Costa Ribeiro | Registered representative | CFP | Sep 2025 (1y) | |
| Ricardo Costa Ribeiro | Registered representative | CFP | Sep 2025 (1y) | |
| Paul Edward Miller | Registered representative | Oct 2025 (1y) | ||
| Robert James Roche | Registered representative | Oct 2025 (1y) | ||
| Ekaterina A. Nuce | Registered representative | Nov 2025 (1y) | ||
| Karuna Tejpaul | Registered representative | Feb 2026 (0y) | ||
| William Keith Arechiga | Registered representative | CFA | Mar 2026 (0y) | |
| Eric Michael Micheli | Registered representative | CFA | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| First Foundation Inc. | 100% Stock Ownership | Jun 2007 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Scpmg Keogh Plan | Southern California Permanente Medical Group | 11,088 | $7.9B | 01/01/2024 |
| Saul Ewing Retirement Plan | Saul Ewing Llp | 869 | $489M | 01/01/2024 |
| United Airlines Pilot Retirement Account Plan | United Airlines, Inc. | 17,444 | $16.8B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/15/2026 | 1.04 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $4.8B (95% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 29, 2026.
View current Form ADV (SEC/IAPD) ↗