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Investment Adviser Firm Summary

FIRST FOUNDATION ADVISORS (CRD# 106075 / SEC# 801-35973)
Alternate Names: FIRST FOUNDATION ADVISORS , FIRST FOUNDATION INVESTMENT MANAGEMENT , THE KELLER GROUP INVESTMENT MANAGEMENT, INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/28/1990

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 06/30/2016
Alaska 04/01/2005
Arizona 04/24/1996
California 01/11/1991
Colorado 03/30/2005
Connecticut 02/05/2009
Florida 01/08/2001
Georgia 09/11/2013
Hawaii 01/16/2001
Idaho 01/01/2001
Louisiana 03/30/2005
Maryland 02/18/2015
Massachusetts 07/18/2018
Minnesota 08/29/2005
Nebraska 10/30/2012
Nevada 05/02/1996
New Hampshire 03/30/2016
New Mexico 03/30/2005
New York 03/30/2005
North Carolina 05/14/2002
Oregon 05/16/2017
Pennsylvania 03/30/2005
Texas 01/02/1997
Utah 03/28/2013
Washington 11/08/2000

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser