-----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, TKk611wZVHCDYpT5zm6fnN3WDRG3Fxi800Zt9+XLllKAfTSmNJes4dlXeZDduwxk C1KIUG9ODgFYy5iQNpP0/Q== 0001172661-09-001535.txt : 20091116 0001172661-09-001535.hdr.sgml : 20091116 20091116095608 ACCESSION NUMBER: 0001172661-09-001535 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 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: 091184092 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 six3q09.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: September 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 November 16, 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: 133 Form13F Information Table Value Total: $586,913 (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 2329 238363 SH Sole 238363 0 0 ALPINE GLOBAL PREMIER PPTYS COM SBI 02083A103 5937 949901 SH Sole 949901 0 0 ASA LIMITED COM G3156P103 1328 17525 SH Sole 17525 0 0 BLACKROCK HEALTH SCIENCES TR COM 09250W107 313 13400 SH Sole 13400 0 0 BLACKROCK INCOME TR INC COM 09247F100 14500 2187043 SH Sole 2187043 0 0 BLACKROCK MUNIHLDGS FD INC COM 09254A101 4446 345755 SH Sole 345755 0 0 BLACKROCK MUNIYIELD MICH INS COM 09254V105 670 50575 SH Sole 50575 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254G108 2079 173663 SH Sole 173663 0 0 BLACKROCK REAL ASSET EQUITY COM 09254B109 2660 232921 SH Sole 232921 0 0 BLACKROCK S&P QLTY RK EQ MD SHS BEN INT 09250D109 7150 600346 SH Sole 600346 0 0 BLACKROCK STRAT DIVD ACHIEVE COM 09249Y107 1156 131718 SH Sole 131718 0 0 BLUE CHIP VALUE FD INC COM 095333100 1277 417415 SH Sole 417415 0 0 CENTRAL EUROPE AND RUSSIA FD COM 153436100 8156 251102 SH Sole 251102 0 0 CENTRAL SECS CORP COM 155123102 373 21400 SH Sole 21400 0 0 CHILE FD INC COM 168834109 296 18496 SH Sole 18496 0 0 CHINA FD INC COM 169373107 445 18412 SH Sole 18412 0 0 CLOUGH GLOBAL ALLOCATION FUN COM SHS BEN IN 18913Y103 2704 184456 SH Sole 184456 0 0 CLOUGH GLOBAL EQUITY FD COM 18914C100 13790 994249 SH Sole 994249 0 0 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 16466 1298614 SH Sole 1298614 0 0 COHEN & STEERS DIV MJRS FDIN COM 19248G106 440 45100 SH Sole 45100 0 0 DTF TAX-FREE INCOME INC COM 23334J107 1359 91256 SH Sole 91256 0 0 DWS MUN INCOME TR COM 23338M106 3204 275272 SH Sole 275272 0 0 EATON VANCE LTD DUR INCOME F COM 27828H105 1035 70000 SH Sole 70000 0 0 EATON VANCE SH TM DR DIVR IN COM 27828V104 2628 161928 SH Sole 161928 0 0 EATON VANCE TAX ADVT DIV INC COM 27828G107 7177 485254 SH Sole 485254 0 0 EATON VANCE TX ADV GLB DIV O COM 27828U106 1048 56949 SH Sole 56949 0 0 EATON VANCE TX ADV GLBL DIV COM 27828S101 5857 446781 SH Sole 446781 0 0 EMERGING MKTS TELECOMNC FD N COM 290890102 482 27337 SH Sole 27337 0 0 EUROPEAN EQUITY FUND COM 298768102 9992 1439841 SH Sole 1439841 0 0 EVERGREEN INTL BALANCED INCO COM 30024R109 2303 163823 SH Sole 163823 0 0 EVERGREEN MULTI SECT INC FUN COM SHS 30024Y104 6828 478503 SH Sole 478503 0 0 FIRST ISRAEL FD INC COM 32063L100 1840 133930 SH Sole 133930 0 0 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 864 55768 SH Sole 55768 0 0 FIRST TR ENHANCED EQTY INC F COM 337318109 822 80300 SH Sole 80300 0 0 FIRST TR/ABERDEEN EMERG OPT COM 33731K102 1108 63257 SH Sole 63257 0 0 FIRST TR/FOUR CRNRS SR FLOAT COM 33733U108 3645 328960 SH Sole 328960 0 0 FORT DEARBORN INCOME SECS IN COM 347200107 2188 147324 SH Sole 147324 0 0 FRANKLIN TEMPLETON LTD DUR I COM 35472T101 2186 185383 SH Sole 185383 0 0 GABELLI DIVD & INCOME TR COM 36242H104 3402 274600 SH Sole 274600 0 0 GABELLI GLOBAL DEAL FD COM SBI 36245G103 248 16700 SH Sole 16700 0 0 GABELLI GLOBAL MULTIMEDIA TR COM 36239Q109 3432 547329 SH Sole 547329 0 0 GENERAL AMERN INVS INC COM 368802104 1958 82300 SH Sole 82300 0 0 GLOBAL INCOME&CURRENCY FD IN COM 378968101 522 36978 SH Sole 36978 0 0 INDONESIA FD INC COM 455778100 2469 249647 SH Sole 249647 0 0 INSURED MUN INCOME FD COM 45809F104 5327 376732 SH Sole 376732 0 0 ISHARES INC MSCI FRANCE 464286707 2044 78700 SH Sole 78700 0 0 ISHARES INC MSCI JAPAN 464286848 37794 3802164 SH Sole 3802164 0 0 ISHARES INC MSCI CDA INDEX 464286509 1154 45300 SH Sole 45300 0 0 ISHARES INC MSCI AUSTRALIA 464286103 1606 71050 SH Sole 71050 0 0 ISHARES INC MSCI UTD KINGD 464286699 4512 290896 SH Sole 290896 0 0 ISHARES INC MSCI EMU INDEX 464286608 1277 33594 SH Sole 33594 0 0 ISHARES TR BARCLYS MBS BD 464288588 5630 52718 SH Sole 52718 0 0 ISHARES TR MSCI ACWI INDX 464288257 367 9000 SH Sole 9000 0 0 ISHARES TR S&P NTL AMTFREE 464288414 487 4600 SH Sole 4600 0 0 ISHARES TR INDEX BARCLYS TIPS BD 464287176 5946 57800 SH Sole 57800 0 0 ISHARES TR INDEX MSCI EAFE IDX 464287465 2029 37100 SH Sole 37100 0 0 ISHARES TR INDEX BARCLY USAGG B 464287226 8436 80400 SH Sole 80400 0 0 ISHARES TR INDEX IBOXX INV CPBD 464287242 3872 36300 SH Sole 36300 0 0 ISHARES TR INDEX BARCLYS 7-10 YR 464287440 12858 139200 SH Sole 139200 0 0 ISHARES TR INDEX MSCI EMERG MKT 464287234 389 10000 SH Sole 10000 0 0 JAPAN EQUITY FD INC COM 471057109 8196 1501079 SH Sole 1501079 0 0 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 4614 583366 SH Sole 583366 0 0 JOHN HANCOCK BK &THRIFT OPP SH BEN INT NEW 409735206 2559 181070 SH Sole 181070 0 0 KOREA EQUITY FD INC COM 50063B104 1334 147702 SH Sole 147702 0 0 KOREA FD COM NEW 500634209 5062 147027 SH Sole 147027 0 0 LATIN AMER EQUITY FD INC NEW COM 51827Q106 4217 119777 SH Sole 119777 0 0 LAZARD GLB TTL RET&INCM FD I COM 52106W103 13198 930070 SH Sole 930070 0 0 LAZARD WORLD DIVID & INCOME COM 521076109 2044 193890 SH Sole 193890 0 0 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 5483 1296300 SH Sole 1296300 0 0 LIBERTY ALL-STAR GROWTH FD I COM 529900102 1484 469500 SH Sole 469500 0 0 LMP CAP & INCOME FD INC COM 50208A102 866 90255 SH Sole 90255 0 0 LMP CORPORATE LN FD INC COM 50208B100 449 46215 SH Sole 46215 0 0 MACQUARIE FT TR GB INF UT DI COM 55607W100 3229 275064 SH Sole 275064 0 0 MACQUARIE GLBL INFRA TOTL RE COM 55608D101 2996 198692 SH Sole 198692 0 0 MADISON CLAYMORE CALL &EQTY COM 556582104 385 46400 SH Sole 46400 0 0 MADISON STRTG SECTOR PREM FD COM 558268108 239 20200 SH Sole 20200 0 0 MALAYSIA FD INC COM 560905101 1685 232720 SH Sole 232720 0 0 MEXICO EQUITY & INCOME FD COM 592834105 1773 261554 SH Sole 261554 0 0 MEXICO FD INC COM 592835102 1744 81023 SH Sole 81023 0 0 MFS INTERMARKET INCOME TRUST SH BEN INT 59318R103 548 68878 SH Sole 68878 0 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 7640 1206965 SH Sole 1206965 0 0 MONTGOMERY STR INCOME SECS I COM 614115103 313 20885 SH Sole 20885 0 0 MORGAN STANLEY INSD MUN TR 61745P866 2088 152932 SH Sole 152932 0 0 MORGAN STANLEY QLT MUN INV TR 61745P668 1736 136227 SH Sole 136227 0 0 MORGAN STANLEY ASIA PAC FD I COM 61744U106 66320 4542453 SH Sole 4542453 0 0 MORGAN STANLEY EASTN EUR FD COM 616988101 49 3300 SH Sole 3300 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 5553 580299 SH Sole 580299 0 0 MORGAN STANLEY EMER MKTS FD COM 61744G107 3413 258983 SH Sole 258983 0 0 MORGAN STANLEY FRNT EMERG FD COM 61757P101 1344 114134 SH Sole 114134 0 0 NEUBERGER BERMAN INTER MUNI COM 64124P101 831 61976 SH Sole 61976 0 0 NEW GERMANY FD INC COM 644465106 31092 2595339 SH Sole 2595339 0 0 NEW IRELAND FUND INC COM 645673104 1687 206428 SH Sole 206428 0 0 NFJ DIVID INT & PREM STRTGY COM SHS 65337H109 2035 151900 SH Sole 151900 0 0 NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 1241 112200 SH Sole 112200 0 0 NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 700 74550 SH Sole 74550 0 0 NUVEEN FLA INVT QUALITY MUN COM 670970102 194 14910 SH Sole 14910 0 0 NUVEEN FLA QUALITY INCOME MU COM 670978105 2401 180644 SH Sole 180644 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 1604 169600 SH Sole 169600 0 0 NUVEEN GBL VL OPPORTUNITIES COM 6706EH103 949 56215 SH Sole 56215 0 0 NUVEEN INSD DIVID ADVANTAGE COM 67071L106 3216 224097 SH Sole 224097 0 0 NUVEEN INSD FLA PREM INCOME COM 67101V108 674 49506 SH Sole 49506 0 0 NUVEEN INSD PREM INCOME MUN COM 6706D8104 1131 90683 SH Sole 90683 0 0 NUVEEN NY QUALITY INCM MUN F COM 670986108 192 14056 SH Sole 14056 0 0 NUVEEN NY SELECT QUALITY MUN COM 670976109 1229 89299 SH Sole 89299 0 0 NUVEEN PA INVT QUALITY MUN F COM 670972108 979 74610 SH Sole 74610 0 0 NUVEEN PREMIER INSD MUN INCO COM 670987106 2584 184978 SH Sole 184978 0 0 NUVEEN PREMIER MUN INCOME FD COM 670988104 6713 503244 SH Sole 503244 0 0 NUVEEN TAX ADVANTAGED DIV GR COM 67073G105 895 83175 SH Sole 83175 0 0 OLD MUTUAL CLAYMORE LNG SHT COM 68003N103 1430 184071 SH Sole 184071 0 0 PETROLEUM & RES CORP COM 716549100 793 34100 SH Sole 34100 0 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 6689 582644 SH Sole 582644 0 0 RIVUS BOND FUND COM 769667106 193 12022 SH Sole 12022 0 0 ROYCE MICRO-CAP TR INC COM 780915104 367 50300 SH Sole 50300 0 0 ROYCE VALUE TR INC COM 780910105 1007 97500 SH Sole 97500 0 0 SINGAPORE FD INC COM 82929L109 4031 325379 SH Sole 325379 0 0 SOURCE CAP INC COM 836144105 1105 26500 SH Sole 26500 0 0 SPAIN FD COM 846330108 2671 373598 SH Sole 373598 0 0 SPDR SERIES TRUST BRCLYS MUNI ETF 78464A458 8455 363794 SH Sole 363794 0 0 SUNAMERICA FCSED ALPHA GRW F COM 867037103 1679 139085 SH Sole 139085 0 0 SUNAMERICA FOCUSE ALPHA LC F COM 867038101 1327 109455 SH Sole 109455 0 0 SWISS HELVETIA FD INC COM 870875101 47294 3921229 SH Sole 3921229 0 0 TAIWAN FD INC COM 874036106 1033 74348 SH Sole 74348 0 0 TAIWAN GREATER CHINA FD SH BEN INT 874037104 3372 570556 SH Sole 570556 0 0 TEMPLETON DRAGON FD INC COM 88018T101 11626 457728 SH Sole 457728 0 0 THAI FD INC COM 882904105 5146 564250 SH Sole 564250 0 0 TRANSAMERICA INCOME SHS INC COM 893506105 2291 115807 SH Sole 115807 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 11782 148202 SH Sole 148202 0 0 WESTERN ASSET EMRG MKT INCM COM 95766E103 6788 552344 SH Sole 552344 0 0 WESTERN ASSET GLB HI INCOME COM 95766B109 4875 448855 SH Sole 448855 0 0 WESTERN ASSET INTM MUNI FD I COM 958435109 3412 376556 SH Sole 376556 0 0 WESTERN ASSET WORLDWIDE INCO COM 957668106 407 33500 SH Sole 33500 0 0 ZWEIG FD COM 989834106 1298 404311 SH Sole 404311 0 0 ZWEIG TOTAL RETURN FD INC COM 989837109 94 25000 SH Sole 25000 0 0
-----END PRIVACY-ENHANCED MESSAGE-----