FacultyFaculty/Author Profile
John E. Baumgardner, Jr.

John E. Baumgardner, Jr.

Sullivan & Cromwell LLP

New York, NY, USA


John Baumgardner is engaged in a wide variety of corporate and securities matters and coordinates the Firm’s practice in the investment management area. He is also a member of the Firm’s Financial Services, Investment Management, Broker-Dealer and Commodities, Futures and Derivatives Groups.

Mr. Baumgardner has represented issuers, independent trustees, advisers and underwriters of dozens of U.S. registered, publicly offered open- and closed-end investment companies, and currently concentrates on independent trustee engagements, including those sponsored by Fidelity Fixed Income Funds, Fidelity Sector Funds, and Pioneer Investments. He has represented the Investment Company Institute, the principal trade association of the mutual funds industry, on some of its most important projects. Mr. Baumgardner’s practice also includes representation of private equity and alternative investment funds and various U.S. registered broker-dealers.

Mr. Baumgardner has been a frequent speaker or panelist at conferences sponsored by the Practising Law Institute, Investment Company Institute and the New York City Bar Association. He was former chair of the Committee on Investment Management Regulation of the Association and is the Chair of the Association’s Committee on the Investment of Funds.

Mr. Baumgardner has been named in The Best Lawyers in America for more than 15 years. He has also been recognized as a leading lawyer by numerous publications.

Mr. Baumgardner is a member of the Board of Advisors of the Yale School of Music and on the Board of Directors of OperaAmerica. He is also a member of the Princeton University Advisory Council for the Department of Politics. Mr. Baumgardner was until August 2012 a director of New York City Opera.

Mr. Baumgardner is also Chairman of The Lakeville Journal Company, LLC, a community newspaper group in Northwest Connecticut.

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