Sullivan & Cromwell LLP

John E Baumgardner

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Elected Partner in 1983, became Of Counsel in 2019. John Baumgardner is 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 and Amundi 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. He 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.

Professional Memberships

ABA; NYSBA; Chair, NYCBA’s Investment Committee; Member, Boards of Advisors, Yale School of Music and National Opera Center; Director, OperaAmerica; Chairman, The Lakeville Journal Company.


Columbia (JD, 1975); Princeton (AB, summa cum laude, 1973).