-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DsvJC+AzYUl4TWEf2JEWoOWa9u8bamRjE6SpPNH3NFchMMC2vGot/m7tqwodbHtk TTG4zmy3RvX8Uf/JL/bIiQ== 0001172661-09-001365.txt : 20090814 0001172661-09-001365.hdr.sgml : 20090814 20090814091857 ACCESSION NUMBER: 0001172661-09-001365 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090814 DATE AS OF CHANGE: 20090814 EFFECTIVENESS DATE: 20090814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: 1607 Capital Partners, LLC CENTRAL INDEX KEY: 0001436866 IRS NUMBER: 260529973 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13406 FILM NUMBER: 091012507 BUSINESS ADDRESS: STREET 1: 4991 LAKE BROOK DRIVE STREET 2: SUITE 125 CITY: GLEN ALLEN STATE: VA ZIP: 23060 BUSINESS PHONE: 1-804-525-1750 MAIL ADDRESS: STREET 1: 4991 LAKE BROOK DRIVE STREET 2: SUITE 125 CITY: GLEN ALLEN STATE: VA ZIP: 23060 13F-HR 1 six2q09.txt FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: 1607 Capital Partners, LLC Address: 4991 Lake Brook Dr. Suite 125 Glen Allen, VA 23060 13F File Number: 28-13406 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, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Thomas K. Tattersall Title: Managing Director of Operations and Marketing Phone: 1-804-525-1750 Signature, Place, and Date of Signing: /s/ Thomas K. Tattersall Glen Allen, VA/USA August 14, 2009 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 148 Form13F Information Table Value Total: $565,780 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ADAMS EXPRESS CO COM 006212104 1989 236763 SH Sole 236763 0 0 ALPINE GLOBAL PREMIER PPTYS COM SBI 02083A103 4746 1014101 SH Sole 1014101 0 0 ASA LIMITED COM G3156P103 1108 17525 SH Sole 17525 0 0 ASIA PAC FD INC COM 044901106 8 1000 SH Sole 1000 0 0 ASIA TIGERS FD INC COM 04516T105 24 1548 SH Sole 1548 0 0 BLACKROCK INCOME TR INC COM 09247F100 16496 2643572 SH Sole 2643572 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 1794 150087 SH Sole 150087 0 0 BLACKROCK MUNIHLDGS FD INC COM 09254A101 7300 664801 SH Sole 664801 0 0 BLACKROCK MUNIHLDGS INS INV COM 09254P108 2594 228360 SH Sole 228360 0 0 BLACKROCK MUNIHLDGS INSD FDI COM 09254C107 2315 210667 SH Sole 210667 0 0 BLACKROCK MUNIHOLDINGS CALIF COM 09254L107 1059 95753 SH Sole 95753 0 0 BLACKROCK MUNIHOLDINGS N J I COM 09254X101 592 47300 SH Sole 47300 0 0 BLACKROCK MUNIHOLDINGS N Y I COM 09255C106 723 63400 SH Sole 63400 0 0 BLACKROCK MUNIYIELD CALIF IN COM 09254N103 357 31851 SH Sole 31851 0 0 BLACKROCK MUNIYIELD MICH INS COM 09254V105 825 72075 SH Sole 72075 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254G108 3470 336935 SH Sole 336935 0 0 BLACKROCK REAL ASSET EQUITY COM 09254B109 4866 546100 SH Sole 546100 0 0 BLACKROCK S&P QLTY RK EQ MD SHS BEN INT 09250D109 6279 606046 SH Sole 606046 0 0 BLACKROCK STRAT DIVD ACHIEVE COM 09249Y107 964 129918 SH Sole 129918 0 0 BLACKROCK WORLD INVT TR COM SHS BN INT 09250K103 1240 125767 SH Sole 125767 0 0 BLUE CHIP VALUE FD INC COM 095333100 866 345065 SH Sole 345065 0 0 CENTRAL EUROPE AND RUSSIA FD COM 153436100 6204 277851 SH Sole 277851 0 0 CENTRAL SECS CORP COM 155123102 241 15800 SH Sole 15800 0 0 CHILE FD INC COM 168834109 142 9300 SH Sole 9300 0 0 CHINA FD INC COM 169373107 388 18514 SH Sole 18514 0 0 CLAYMORE DIVIDEND INCOME FUND COM 18385J105 180 17480 SH Sole 17480 0 0 CLOUGH GLOBAL ALLOCATION FUN COM SHS BEN IN 18913Y103 2331 184256 SH Sole 184256 0 0 CLOUGH GLOBAL EQUITY FD COM 18914C100 11265 962849 SH Sole 962849 0 0 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 13551 1257014 SH Sole 1257014 0 0 COHEN & STEERS GLOBAL INC BL COM 19248M103 672 76400 SH Sole 76400 0 0 DREYFUS STRATEGIC MUN BD FD COM 26202F107 356 53103 SH Sole 53103 0 0 DREYFUS STRATEGIC MUNS INC COM 261932107 507 72318 SH Sole 72318 0 0 DTF TAX-FREE INCOME INC COM 23334J107 4281 327824 SH Sole 327824 0 0 DWS MUN INCOME TR COM 23338M106 5971 597134 SH Sole 597134 0 0 EATON VANCE LTD DUR INCOME F COM 27828H105 1553 121227 SH Sole 121227 0 0 EATON VANCE SH TM DR DIVR IN COM 27828V104 3169 220228 SH Sole 220228 0 0 EATON VANCE TAX ADVT DIV INC COM 27828G107 7499 621303 SH Sole 621303 0 0 EATON VANCE TAX MNG GBL DV E COM 27829F108 4072 377391 SH Sole 377391 0 0 EATON VANCE TX ADV GLB DIV O COM 27828U106 2123 142594 SH Sole 142594 0 0 EATON VANCE TX ADV GLBL DIV COM 27828S101 7096 661967 SH Sole 661967 0 0 EMERGING MKTS TELECOMNC FD N COM 290890102 472 31412 SH Sole 31412 0 0 EUROPEAN EQUITY FUND COM 298768102 7414 1375600 SH Sole 1375600 0 0 EVERGREEN INTL BALANCED INCO COM 30024R109 1652 131778 SH Sole 131778 0 0 EVERGREEN MULTI SECT INC FUN COM SHS 30024Y104 11124 901489 SH Sole 901489 0 0 FIRST ISRAEL FD INC COM 32063L100 1621 142437 SH Sole 142437 0 0 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 8204 615931 SH Sole 615931 0 0 FIRST TR ENHANCED EQTY INC F COM 337318109 705 79700 SH Sole 79700 0 0 FIRST TR/ABERDEEN EMERG OPT COM 33731K102 914 63257 SH Sole 63257 0 0 FIRST TR/FOUR CRNRS SR FLOAT COM 33733U108 2747 279714 SH Sole 279714 0 0 FORT DEARBORN INCOME SECS IN COM 347200107 2055 147324 SH Sole 147324 0 0 FRANKLIN TEMPLETON LTD DUR I COM 35472T101 2050 204005 SH Sole 204005 0 0 GABELLI DIVD & INCOME TR COM 36242H104 2659 263800 SH Sole 263800 0 0 GABELLI GLOBAL DEAL FD COM SBI 36245G103 572 42100 SH Sole 42100 0 0 GABELLI GLOBAL MULTIMEDIA TR COM 36239Q109 2477 549229 SH Sole 549229 0 0 GENERAL AMERN INVS INC COM 368802104 1526 81400 SH Sole 81400 0 0 GLOBAL INCOME&CURRENCY FD IN COM 378968101 513 36978 SH Sole 36978 0 0 INDONESIA FD INC COM 455778100 1397 181647 SH Sole 181647 0 0 ING ASIA PAC HGH DIVID EQ IN COM 44983J107 5992 417560 SH Sole 417560 0 0 INSURED MUN INCOME FD COM 45809F104 6841 556152 SH Sole 556152 0 0 ISHARES INC MSCI EMU INDEX 464286608 1003 33094 SH Sole 33094 0 0 ISHARES INC MSCI UTD KINGD 464286699 3791 286996 SH Sole 286996 0 0 ISHARES INC MSCI JAPAN 464286848 35552 3770064 SH Sole 3770064 0 0 ISHARES TR BARCLYS US AGG B 464287226 2993 29300 SH Sole 29300 0 0 ISHARES TR BARCLYS TIPS BD 464287176 2571 25300 SH Sole 25300 0 0 ISHARES TR MSCI EAFE IDX 464287465 3289 71800 SH Sole 71800 0 0 ISHARES TR BARCLYS MBS BD 464288588 5550 52718 SH Sole 52718 0 0 ISHARES TR BARCLYS 7-10 YR 464287440 17789 196200 SH Sole 196200 0 0 ISHARES TR MSCI ACWI INDX 464288257 310 9000 SH Sole 9000 0 0 JAPAN EQUITY FD INC COM 471057109 7017 1420479 SH Sole 1420479 0 0 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 3004 408695 SH Sole 408695 0 0 JOHN HANCOCK BK &THRIFT OPP SH BEN INT NEW 409735206 1328 110520 SH Sole 110520 0 0 KOREA EQUITY FD INC COM 50063B104 816 120202 SH Sole 120202 0 0 KOREA FD COM NEW 500634209 1075 39200 SH Sole 39200 0 0 LATIN AMER EQUITY FD INC NEW COM 51827Q106 3293 116977 SH Sole 116977 0 0 LAZARD GLB TTL RET&INCM FD I COM 52106W103 11018 899445 SH Sole 899445 0 0 LAZARD WORLD DIVID & INCOME COM 521076109 907 102506 SH Sole 102506 0 0 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 4439 1282900 SH Sole 1282900 0 0 LIBERTY ALL-STAR GROWTH FD I COM 529900102 849 310900 SH Sole 310900 0 0 LMP CAP & INCOME FD INC COM 50208A102 527 61255 SH Sole 61255 0 0 MACQUARIE FT TR GB INF UT DI COM 55607W100 2459 243418 SH Sole 243418 0 0 MACQUARIE GLBL INFRA TOTL RE COM 55608D101 2513 198192 SH Sole 198192 0 0 MADISON CLAYMORE CALL &EQTY COM 556582104 306 43900 SH Sole 43900 0 0 MALAYSIA FD INC COM 560905101 950 150020 SH Sole 150020 0 0 MEXICO EQUITY & INCOME FD COM 592834105 1285 228168 SH Sole 228168 0 0 MEXICO FD INC COM 592835102 1409 81023 SH Sole 81023 0 0 MFS INTERMARKET INCOME TRUST SH BEN INT 59318R103 504 68878 SH Sole 68878 0 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 7253 1265865 SH Sole 1265865 0 0 MONTGOMERY STR INCOME SECS I COM 614115103 302 20885 SH Sole 20885 0 0 MORGAN STANLEY QULTY MUN SECS 61745P585 384 33676 SH Sole 33676 0 0 MORGAN STANLEY QLT MUN INV TR 61745P668 2036 183606 SH Sole 183606 0 0 MORGAN STANLEY INSD MUN TR 61745P866 3507 286999 SH Sole 286999 0 0 MORGAN STANLEY ASIA PAC FD I COM 61744U106 56747 4485903 SH Sole 4485903 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 2190 264214 SH Sole 264214 0 0 MORGAN STANLEY EMER MKTS FD COM 61744G107 2828 258983 SH Sole 258983 0 0 MORGAN STANLEY FRNT EMERG FD COM 61757P101 1536 140834 SH Sole 140834 0 0 NEUBERGER BERMAN INTER MUNI COM 64124P101 3495 279119 SH Sole 279119 0 0 NEW GERMANY FD INC COM 644465106 21950 2552339 SH Sole 2552339 0 0 NEW IRELAND FUND INC COM 645673104 1503 232725 SH Sole 232725 0 0 NFJ DIVID INT & PREM STRTGY COM SHS 65337H109 1249 105500 SH Sole 105500 0 0 NICHOLAS APPLEGATE GLBL EQ C COM 65370L108 249 21738 SH Sole 21738 0 0 NICHOLAS-APPLGT INTL & PRM S COM 65370C108 5012 402532 SH Sole 402532 0 0 NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 1084 111500 SH Sole 111500 0 0 NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 535 74550 SH Sole 74550 0 0 NUVEEN EQTY PRM OPPORTUNITYF COM 6706EM102 1159 105200 SH Sole 105200 0 0 NUVEEN EQUITY PREM ADV FD COM 6706ET107 60 5400 SH Sole 5400 0 0 NUVEEN EQUITY PREM INCOME FD COM 6706ER101 412 38400 SH Sole 38400 0 0 NUVEEN FLA INVT QUALITY MUN COM 670970102 393 33902 SH Sole 33902 0 0 NUVEEN FLA QUALITY INCOME MU COM 670978105 2235 185044 SH Sole 185044 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 1299 169600 SH Sole 169600 0 0 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 16 2100 SH Sole 2100 0 0 NUVEEN GBL VL OPPORTUNITIES COM 6706EH103 1448 102660 SH Sole 102660 0 0 NUVEEN INSD DIVID ADVANTAGE COM 67071L106 4294 334925 SH Sole 334925 0 0 NUVEEN INSD FLA PREM INCOME COM 67101V108 1058 85206 SH Sole 85206 0 0 NUVEEN INSD PREM INCOME MUN COM 6706D8104 6099 540649 SH Sole 540649 0 0 NUVEEN MULT CURR ST GV INCM COM 67090N109 8697 578240 SH Sole 578240 0 0 NUVEEN NY QUALITY INCM MUN F COM 670986108 1173 97379 SH Sole 97379 0 0 NUVEEN NY SELECT QUALITY MUN COM 670976109 1610 131899 SH Sole 131899 0 0 NUVEEN PA INVT QUALITY MUN F COM 670972108 675 57799 SH Sole 57799 0 0 NUVEEN PERFORMANCE PLUS MUN COM 67062P108 3921 306805 SH Sole 306805 0 0 NUVEEN PREM INCOME MUN FD 4 COM 6706K4105 3314 308284 SH Sole 308284 0 0 NUVEEN PREMIER INSD MUN INCO COM 670987106 4440 351821 SH Sole 351821 0 0 NUVEEN PREMIER MUN INCOME FD COM 670988104 6358 541568 SH Sole 541568 0 0 NUVEEN TAX ADVANTAGED DIV GR COM 67073G105 762 83175 SH Sole 83175 0 0 OLD MUTUAL CLAYMORE LNG SHT COM 68003N103 1368 178571 SH Sole 178571 0 0 PETROLEUM & RES CORP COM 716549100 102 5000 SH Sole 5000 0 0 PUTNAM MANAGED MUN INCOM TR COM 746823103 1193 204555 SH Sole 204555 0 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 8399 852684 SH Sole 852684 0 0 ROYCE VALUE TR INC COM 780910105 603 71700 SH Sole 71700 0 0 SINGAPORE FD INC COM 82929L109 3101 309792 SH Sole 309792 0 0 SOURCE CAP INC COM 836144105 695 20100 SH Sole 20100 0 0 SPAIN FD COM 846330108 1604 284477 SH Sole 284477 0 0 SPDR SERIES TRUST BRCLYS MUNI ETF 78464A458 2735 124200 SH Sole 124200 0 0 SUNAMERICA FCSED ALPHA GRW F COM 867037103 1269 129485 SH Sole 129485 0 0 SUNAMERICA FOCUSE ALPHA LC F COM 867038101 1042 105055 SH Sole 105055 0 0 SWISS HELVETIA FD INC COM 870875101 37406 3868229 SH Sole 3868229 0 0 TAIWAN FD INC COM 874036106 687 57415 SH Sole 57415 0 0 TAIWAN GREATER CHINA FD SH BEN INT 874037104 2334 481318 SH Sole 481318 0 0 TEMPLETON DRAGON FD INC COM 88018T101 11587 496028 SH Sole 496028 0 0 THAI FD INC COM 882904105 2645 348476 SH Sole 348476 0 0 TRANSAMERICA INCOME SHS INC COM 893506105 1122 62351 SH Sole 62351 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 420 5400 SH Sole 5400 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 521 35600 SH Sole 35600 0 0 WESTERN ASSET EMRG MKT INCM COM 95766E103 6190 607444 SH Sole 607444 0 0 WESTERN ASSET GLB HI INCOME COM 95766B109 4619 508146 SH Sole 508146 0 0 WESTERN ASSET INTM MUNI FD I COM 958435109 3980 479518 SH Sole 479518 0 0 WESTERN ASSET VAR RT STRG FD COM 957667108 954 79196 SH Sole 79196 0 0 ZWEIG FD COM 989834106 1139 400911 SH Sole 400911 0 0 ZWEIG TOTAL RETURN FD INC COM 989837109 84 25000 SH Sole 25000 0 0
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