Thomas R. Smith, Jr.has joined the SEC’s Division of Investment Management as a senior advisor to Division Director Andrew J. Donohue. Prior to joining the commission, Smith was a partner with the New York office of Sidley Austin LLP.

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Leading mutual fund lawyer Thomas R. Smith, Jr. has joined the SEC’s Division of Investment Management as a Senior Advisor to Division Director Andrew J. Donohue.

“Tom Smith is a senior statesman of the federal securities bar with significant experience in the Investment Company and Investment Advisers Acts of 1940,” said Donohue. “I have tremendous respect for Tom’s intellect, tenacity and desire to serve America’s investors by sharing his extensive knowledge and understanding of the federal securities laws.”

Mr. Smith stated, “As a private practitioner, I have long admired the mission and work of the Securities and Exchange Commission. I am pleased that I now have an opportunity to join in that mission and assist with the important investor oriented initiatives underway in the Division of Investment Management.”

Prior to joining the Division of Investment Management, Mr. Smith was a partner with the New York office of Sidley Austin LLP. Mr. Smith previously served as Managing Partner of Brown & Wood LLP from 1996 until the firm’s merger with Sidley Austin in 2001, and served as Vice Chairman of the combined firm from 2001 through 2003. Mr. Smith began his legal career with Brown & Wood LLP in 1963 and was named partner in 1971.

Throughout his career, Mr. Smith’s practice has focused on representing mutual funds and other investment companies, as well as investment advisers and independent fund directors. For 15 years, Mr. Smith was Co-Chair of the Subcommittee on Investment Companies and Investment Advisers of the Federal Regulation of Securities Committee of the Section on Business Law of the American Bar Association. He was also Co-Chair of the Committee’s Task Force which produced Fund Director’s Guidebook. Mr. Smith is a regular speaker at mutual fund conferences and has written extensively on investment company matters.

Mr. Smith earned his LL.B. from the University of Virginia School of Law in 1963 and his A.B. from Princeton University in 1960.  

Edited by: Erin Kello


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