2012_cla_dinner_journal.pdf

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12012

E V E N I N G A G E N D A

Welcome to the sixth annual Community Leadership Awards dinner.

DINNER CO-CHAIRS Kandis BatesPresident, Invest in Others Charitable Foundation

Suzanne SiracuseVice President/Publisher, InvestmentNewsBoard Member, Invest in Others Charitable Foundation

A W A R D S & D I N N E R P R O G R A M

OPENING PERFORMANCE Young People’s Chorus of New York City

COMMUNITY SERVICEpresented by J.P. Morgan Asset Management

Karen C. AltfestYorkville Common Pantry

Matthew J. BarbisThe Rose Brucia Educational Foundation

David SteadlyHyde Leadership Charter School

GLOBAL COMMUNITY IMPACTpresented byW.P. Carey & Co. LLC

Carl F. Bailey, Jr.Connecticut Quest for Peace

Scott SweatDavid’s Hope International

Mark WiseTimmy Global Health

MENTORING EXCELLENCEpresented by

Sentinel Investments

Roger CarlsonWorking in the Schools (WITS)

David PlylerAtlanta Youth Academy

Chad TischerMidtown Educational Foundation

KEYNOTE SPEAKERpresented byTD Ameritrade Institutional

Charles Best, Founder of DonorsChoose.org“Treating Everyone Like a Philanthropist”

VOLUNTEER TEAMpresented by

Allianz LifeFinancial Services, LLC

Nathan J. Bachrach and Edward J. FinkeHonor Flight Tri-State

Erica Coogan and Kathryn GarrisonBoys & Girls Clubs of King County - Infl uenceHer Program

Roger P. TheisChildren’s Home and Aid (Rice Child and Family Center)

VOLUNTEER OF THE YEARpresented byLPL Financial

David L. BlaydesThe Wellness House

William M. HullHeartstrings Community Foundation

James E. Pearman, Jr.Mountain Valley Charitable Foundation

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2

A MESSAGE FROM KANDIS BATES

It is my privilege to welcome you to the sixth annual Community

Leadership Awards. Each year I am truly inspired by stories of

fi nancial advisors who are compelled to bring hope to so many.

The individuals that we will recognize here this evening are nothing

short of extraordinary. They make the world a better place starting

with one small deed, one person, one community at a time.

In addition to saluting philanthropists in our industry, tonight we

have the special honor of hearing from an amazing person who

conceived a creative way to help others. In 2000, Charles Best

was having lunch with colleagues in the Bronx high school where

he taught social studies. The conversation turned to the difference

even small amounts of money would make on the young people’s

education and enthusiasm for learning.

Charles could have just wished things were different; instead, he

took decisive action—he established DonorsChoose.org to pair

willing donors with meaningful causes of their choice. Little could

anyone have imagined that, 12 years later, this small fi rst step

would ultimately provide books, technology, classroom supplies,

fi eld trips, and educational resources for more than 6.7 million

schoolchildren across the nation.

Stories like Charles’s and each of tonight’s honorees demonstrate

that we all have the power to make a real difference. I applaud

those being recognized this evening and thank them for reminding

us what really matters. I would also like to extend special thanks

to all event sponsors and attendees, as your generosity makes the

Community Leadership Awards possible and supports many worthy

causes backed by the Invest in Others Charitable Foundation.

Enjoy this inspirational evening!

President, Invest in Others Charitable Foundation

3

A MESSAGE FROM SUZANNE SIRACUSE

VP/Publisher, InvestmentNewsBoard Member, Invest in Others Charitable Foundation

Welcome to the sixth annual Community Leadership Awards.

We are proud to be a part of this recognition and celebration

of fi nancial advisers who exemplify what it means to be a true

community leader. I’d like to thank our partners at the Invest in

Others Charitable Foundation for hosting tonight’s dinner as well as

the sponsors who helped make this inspirational event possible .

All of us at InvestmentNews wish to congratulate the fi nalists for

their outstanding contributions. We are so proud to be able to

honor them all here tonight. Working closely with the Invest in

Others Charitable Foundation has been a rewarding experience

for all of us at InvestmentNews. It has allowed us to witness the

selfl ess efforts of so many within the fi nancial advisory industry.

Narrowing down the decision from hundreds of entries to just

three fi nalists per category was extremely challenging. We were

truly moved by the generosity and commitment to the community

from each nominee.

I would like to thank all the judges for their efforts in helping to

determine the fi nalists: Dale Brown from the FSI, Kevin Keller

from the CFP Board, John Maurello from SIFMA, Jim Peniston

from the Foundation for Financial Planning, and Sean Walters

from IMCA. Finally, thanks to all of you who are here tonight to

show your support for these wonderful role models within the

fi nancial advisory industry.

The September 10 issue of InvestmentNews not only highlights

the stories and charities of the 2012 fi nalists but communicates

their message to thousands of other advisers who can be inspired

by their stories.

We hope that this recognition of our fi nalists and all of the

nominees will encourage even more advisers to share their

stories with us in 2013.

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M I S S I O N S T A T E M E N T

Making a Difference

MISSION

Established in 2006, the Invest in Others Charitable Foundation is a

registered 501(c)(3) public charity founded with the mission of encouraging

and supporting the philanthropic and volunteer activities of fi nancial advisors

in their local community.

KEY OBJECTIVES

Our mission is achieved through a community-based approach to

philanthropy that seeks to strengthen neighborhoods from within by

empowering fi nancial professionals who are committed to serving others in

their businesses and personal lives. As mentors, volunteers, fundraisers,

and leaders, fi nancial professionals lend their unique skills and perspectives

to the challenges and opportunities facing their neighbors. Invest in Others

is proud to support and promote these efforts to better our world one

community at a time.

RECOGNIZING EXEMPLARY PHILANTHROPY

To honor excellence in philanthropy, the Invest in Others Charitable

Foundation established the annual Community Leadership Awards

dinner. This event celebrates fi nancial advisors from across the nation

who have been nominated by their peers for both exemplifying great

leadership qualities in the industry and actively volunteering to improve

their communities and make a difference in the lives of others. The awards

dinner recognizes these individuals and the charities they support, and the

Foundation makes a generous contribution to these nonprofi t organizations

to help advance their important causes.

www.investinothers.org

5

2011C O M M U N I T Y L E A D E R S H I P A W A R D S

6

Char les BestPresented by TD Ameritrade Institutional

Treating Everyone Like a Philanthropist

K E Y N O T E S P E A K E R

Charles Best is the founder and CEO of

DonorsChoose.org, a revolutionary charity that

allows individuals to fund specifi c projects for

public education.

DonorsChoose.org grew out of a lunch

conversation at Wings Academy public high

school in the Bronx, NY, where Charles was

a social studies teacher. Sensing that people

would like to help distressed public schools

but were frustrated by a lack of infl uence over

their donations, the idea for DonorsChoose.

org was born. The organization was founded

in 2000 with the mission of giving individuals

an opportunity to connect directly with

classrooms in need.

The process is simple and rewarding. Public

school teachers from across the nation post

classroom project requests on DonorsChoose.

org. Requests range from pencils for a poetry-

writing unit to violins for a musical recital

to microscope slides for a biology class.

Individuals can browse project requests and

give any donation amount to the project

of their choice. Once a project reaches its

funding goal, DonorsChoose delivers the

materials to the school.

Donors receive photos of the project taking

place, a thank you letter from the teacher, and

a cost report showing how each dollar was

spent. Donors who give over $50 also receive

handwritten thank you letters from the students.

DonorsChoose works hard to see results. In

fact, 70% of all projects get fully funded, and

94% of teachers benefi ting from donations

say the funded project increased the overall

effectiveness in the classroom.

Fortune Magazine has twice featured Charles

in its “40 under 40” list of business’s hottest

rising stars. Oprah Winfrey announced

DonorsChoose.org as one of her “Ultimate

Favorite Things,” and in 2011 Fast Company

listed DonorsChoose.org as one of the “50

Most Innovative Companies in the World”—the

fi rst time a charity has received this recognition.

Charles’s vision allows every public school

teacher to make a change in the lives of

children and enables any citizen to be a

philanthropist. To help engage individuals and

introduce DonorsChoose, Charles has donated

a part of his speaking fee to Community

Leadership Awards guests in the form of

DonorsChoose gift cards so attendees can log

on to the website and make a contribution to

the project of their choosing.

7 7

2012O P E N I N G P E R F O R M A N C E

This season the Young People’s Chorus of New York City (YPC) celebrates its 25th

anniversary. For the past quarter century YPC has provided children of all cultural and

economic backgrounds with a unique program of music education and choral performance,

while advancing a model of artistic excellence and humanity that enriches the community.

Founded in 1988 by Francisco J. Núñez, a 2011 MacArthur Fellow, YPC has become one

of the most celebrated and infl uential youth choruses in the world and is the recipient of

the nation’s highest honor for youth programs, a 2011 National Arts and Humanities Youth

Program Award presented by First Lady Michelle Obama at the White House.

YOUNG PEOPLE’S CHORUS OF NEW YORK CITY

8

K E Y C O N T R I B U T O R S *

Invest in Others would like to extend a very special thank you to the companies listed below

for their support of the Foundation and the Community Leadership Awards.

PLATINUM KEYNOTE SPEAKER

TD Ameritrade Institutional

GOLD

Bank of America Merrill Lynch

Fidelity Investments

Goldman Sachs Asset Management

InvestmentNews

Lincoln Financial Distributors

Lord Abbett

Morgan Stanley

SILVER

Hellman & Friedman

Nationwide Financial Services

Natixis Global Asset Management

Solebury Capital Group LLC

TPG

BRONZE

Broadridge Financial Solutions

Cetera Financial Group

CNL Securities Corp.

Columbia Management

Dreyfus

DST Brokerage Solutions

ICON Investments

Legg Mason Global Asset Management

Lennick Aberman Group

New York Life Investments

Nuveen Investments

COMMUNITY

American Century Investments

Ameriprise Financial

AXA Distributors, LLC

BlackRock

Cole Real Estate Investments

Curian Capital

Deloitte

DWS Investments

Franklin Templeton Investments

Griffi n Capital

Hartford Mutual Funds

Ivy Funds

John Hancock Funds

KBS Capital Markets Group

Kekst and Company

Morningstar

OppenheimerFunds

OPTS Ideas

Pioneer Investments

Putnam Investments

Ropes & Gray LLP

SunAmerica

Van Eck Global

Wells Fargo

Wells Fargo Advantage Funds

Wilmer Cutler Pickering Hale & Dorr LLP

DINNER JOURNAL

Cambridge Investment Research, Inc.

Sanford C. Bernstein

*Sponsors as of print date

9

Thank you to this year’s judges who dedicated their

valuable time to the Community Leadership Awards.

THANK YOUJ U D G E S

Dale E. Brown, CAE

President and CEO Financial Services Institute (FSI)

Evan Cooper

Director of Custom Content and ProgrammingInvestmentNews

Frederick P. Gabriel, Jr.

EditorInvestmentNews

Kevin R. Keller, CAE

CEO Certifi ed Financial Planner Board of Standards

John J. Maurello

Managing Director, Private Client Group Securities Industry and Financial Markets Association (SIFMA)

Caitlin Mollison

Managing Editor InvestmentNews

Jim Pavia

Editorial Director InvestmentNews

James A. Peniston

Executive DirectorFoundation for Financial Planning

Suzanne Siracuse

VP/PublisherInvestmentNews

Board MemberInvest in Others Charitable Foundation

Sean R. Walters, CAE

Executive Director and CEO Investment Management Consultants Association (IMCA)

10

CATALYSTC A T A L Y S T G R A N T P R O G R A M

The Invest in Others Charitable

Foundation is pleased to announce the

Catalyst Grant Program to further our

mission and expand our ongoing support

of fi nancial advisors and their philanthropic

work in local communities nationwide.

The Invest in Others Catalyst Grant Program

invites fi nancial advisors nationwide to

submit a grant request of up to $5,000 on

behalf of a charity they actively support.

Grantees will be selected based on the

advisor’s demonstration of entrepreneurial

vision and leadership in creating positive

change in their local community, as well

as their role in advancing the mission and

strategic goals of their affi liated charity. The

grant program provides needed funding for

advisors who are serving as catalysts in their

local community to help them launch their

community program.

Catalyst Grant requests will be accepted

from September 1 through February 1,

with grant recipients announced in May.

Only qualifi ed non-profi t organizations and

educational institutions with tax-exempt

status granted under the Internal Revenue

Code Section 501(c)(3) are eligible to

receive grants.

The Invest in Others Catalyst Grant program

was made possible through a generous

donation by Mark and Julia Casady to provide

initial funding for the program. Going forward,

a percentage of annual Invest in Others

Community Leadership Awards proceeds will

be applied to the grant program.

For more information and to access the

online grant application, fi nancial advisors

may visit the Invest in Others website at

www.investinothers.org.

Every day, fi nancial advisors are making

a positive difference in the lives of others.

The Invest in Others Charitable Foundation

is honored to recognize and support their

efforts to help individuals and families in their

local communities.

11

2012C O N G R A T U L A T I O N S

Community Leadership Awards Finalists

COMMUNITY SERVICE

Karen C. AltfestYorkville Common Pantry Altfest Personal Wealth Management

Schwab and TD Ameritrade Institutional

Matthew J. BarbisThe Rose Brucia Educational Foundation Creative Wealth Management

Royal Alliance Associates, Inc.

David SteadlyHyde Leadership Charter School Morgan Stanley Smith Barney

GLOBAL COMMUNITY IMPACT

Carl F. Bailey, Jr.Connecticut Quest for Peace Bailey & Beatty Financial Services

Commonwealth Financial Network

Scott Sweat David’s Hope International Alpha Omega Group Wealth Management

Multi-Financial

Mark WiseTimmy Global Health

Northwestern Mutual Investment Services, LLC

MENTORING EXCELLENCE

Roger CarlsonWorking in the Schools (WITS)

Morgan Stanley Smith Barney

David PlylerAtlanta Youth Academy Gleneagles Group BNY Mellon

Chad TischerMidtown Educational Foundation DiMeo Schneider & Associates, L.L.C.

Schwab

VOLUNTEER TEAM

Nathan J. Bachrach and Edward J. FinkeHonor Flight Tri-State The Financial Network Group, Ltd.


Erica Coogan and Kathryn GarrisonBoys & Girls Clubs of King County - Infl uenceHer Program Moss Adams Wealth Advisors LLCMoss Adams Securities & Insurance LLC

Roger P. TheisChildren’s Home and Aid (Rice Child and Family Center)

Merrill Lynch

VOLUNTEER OF THE YEAR

David L. BlaydesThe Wellness House Retirement Planners International, Inc.

National Planning Corporation

William M. HullHeartstrings Community Foundation The Capital Group, LLC

Questar Capital

James E. Pearman, Jr.Mountain Valley Charitable Foundation Partners in Financial Planning, LLC


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2012C O M M U N I T Y L E A D E R S H I P A W A R D S

Honoring the philanthropic spirit of

fi nancial advisors in fi ve distinctive categories.

COMMUNITY SERVICE

Presented to an advisor who has made managerial contributions to a local

nonprofi t organization – as a fundraiser, organizer, board member, or other

executive position – over a period of at least fi ve years, has made an outstanding

contribution to the community, and has served “with distinction.”

GLOBAL COMMUNITY IMPACT

Presented to an advisor who has been actively serving for at least two years

as a volunteer with a charity whose primary mission is to help those who live

outside the United States, and whose efforts have made a lasting impact on a

community outside the U.S.

MENTORING EXCELLENCE

Presented to an advisor who has been actively mentoring a young adult for at

least two years and has demonstrated qualities as a role model and “champion

for youth” in his/her local community.

VOLUNTEER TEAM

Presented to a team of advisors and/or offi ce staff for their current, collective

involvement of at least three years as volunteers for a charity in their local community.

VOLUNTEER OF THE YEAR

Presented to an advisor who has been actively serving as a volunteer at one

or more local nonprofi t organizations for at least two years and has made a

contribution considered to have a “lasting impact” in his/her community.

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C O M M U N I T Y S E R V I C E

serv

ice

KAREN C. ALTFEST

Yorkvil le Common Pantry

Altfest Personal Wealth ManagementSchwab and TD Ameritrade Institutional

The words “Upper East Side” and “food pantry” don’t usually go

together. But in 1980, Karen Altfest, along with other residents of

the affl uent Manhattan neighborhood, saw a need she couldn’t

ignore.

“We saw people digging through garbage cans and realized that

these were our neighbors. We had to pull together to help them,”

she said.

The realization prompted Ms. Altfest, executive vice president of

Altfest Personal Wealth Management, to spearhead the creation

of the Yorkville Common Pantry.

When it started, the pantry served 30 families. Thirty years later,

it provides hot meals, nutrition education and case management

services to more than 25,000 people annually — and Ms. Altfest

still is an active volunteer.

“I’m very proud, but it’s much more than I expected it would be.

I’m a little bit saddened that we still have the need,” she said.

Volunteer work has always been a part of Ms. Altfest’s life.

“I grew up in a family that believed in social service. My mother

founded an organization that focused on cancer. As a child I

observed my mother at her board meetings and it had an impact

on me,” she said.

“I learned that it’s not always about writing the check, it’s about

showing up.”

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serv

ice

MATTHEW J. BARBIS

The Rose Brucia Educational Foundation

Creative Wealth ManagementRoyal Alliance Associates, Inc.

“We can’t stop a pedophile from approaching a child,

but we can teach a child to avoid a pedophile.”

That’s the premise behind the stranger safety awareness

programs provided to elementary schools by The Rose Brucia

Educational Foundation, founded by Matthew Barbis, an

advisor at Creative Wealth Management in Islandia, N.Y.

After Rose — Mr. Barbis’ 11 year-old cousin — was kidnapped

and murdered in 2004, he was moved to do whatever he could

to protect other children. Having taught martial arts to kids, he

was a natural to develop an outreach program for children.

The free program has four components: live puppet shows about

stranger safety, age-specifi c online videos, parent education and

public service announcements — one of which stars Donald Trump.

What began in 2005 as a puppet show at a local hospital

has grown into a program that, to date, has reached 50,000

children in New York state through live performances and

25,000 children across the U.S. through video downloads.

The videos also have been downloaded in 20 countries.

Mr. Barbis is not satisfi ed though.

“We’re only halfway done. We need to have this program

in every elementary school in the country.”

16


DAVID STEADLY

Hyde Leadership Charter School


“Having a safe home is as important as having good

teachers,” according to David Steadly, a senior vice

president in New York with Morgan Stanley Smith Barney,

explaining his devotion to the Hyde Leadership Charter

School in an impoverished section of the South Bronx.

Since 2006, he has donated and raised more than

$86,000, and another $198,000 is in the pipeline.

This 900-student college prep school, founded six years ago, is

part of a network of Hyde schools in four states that emphasize

character development — for students as well as their families and

teachers — as the cornerstone of their educational approach.

Parents are strongly encouraged to attend family education

meetings such as seminars and retreats that focus on self-

refl ection and personal growth. The school holds regular “discovery”

meetings — a type of group therapy where families and students

come together to air their differences and their struggles.

“We’re supporting parents so they can build a cocoon of

protection around their children,” Mr. Steadly said.

Students develop character through a structured curriculum

that prepares them with life skills such as public speaking,

community service, problem solving and etiquette.

“Every time you have a kindergartener walk up to you, look you in

the eye and shake your hand, it blows you away,” Mr. Steadly said.serv

ice

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G L O B A L C O M M U N I T Y I M P A C T

CARL F. BAILEY, JR.

Connecticut Quest for Peace

Bailey & Beatty Financial ServicesCommonwealth Financial Network

The stock market crash of 2002 brought about an

epiphany for Carl Bailey, president of Bailey & Beatty

Financial Services in Danbury, Connecticut.

“Everyone was talking about what they lost, not what

they had. It was all about wanting more and more,

and I realized, ‘I can’t think this way anymore.’”

He decided that he wanted to give more, instead of have more,

and began to turn his energies toward humanitarian work.

After a 2005 trip to Nicaragua through Connecticut Quest

for Peace, he became committed to the organization’s

mission to provide support to that country’s poor.

“I was moved by the selfl essness of the people

working with the poor. I realized that this is what

I’m supposed to do with my life,” he said.

Over the past seven years, Mr. Bailey has raised more

than $500,000 to support a school with 1,400 students, a

training center that helps women live independently and an

orphanage for 24 girls. Three years ago, he started a medical

mission program that has taken surgeons to Nicaragua

to repair the cleft palates of 450 disfi gured children. He

personally oversees all projects during semiannual trips.

“I’m grateful to be able to change lives for

thousands of people,” he said. glo

bal

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18


SCOTT SWEAT

David’s Hope International

Alpha Omega Group Wealth ManagementMulti-Financial

Scott Sweat is a serious multitasker.

His full-time job is as a lieutenant colonel in the Air Force. He

also is a certifi ed fi nancial planner and puts in 20 hours a week

as an advisor with Alpha Omega Group Wealth Management in

Alexandria, Virginia. Even with all that, he squeezes in 20 hours a

week to act as the executive director of David’s Hope International.

The nonprofi t organization, an outgrowth of a mission Lt.

Col. Sweat and his wife led for the McLean Bible Church in

2009, supports an extremely poor rural community in Kenya,

with a focus on creating a self-sustaining way of life.

Over the past three years, he and his team of volunteers

not only raised $300,000, but returned to Kenya to build

an elementary school (taking hundreds of children off the

streets), staff and supply a medical clinic, and construct

a maternity ward, an orphanage and a church.

Sustainability elements include brand-new wells — the

village’s fi rst-ever continuous water source — and

introduction of a boarding school program to provide

continuing income to support the community’s needs.

What drives Lt. Col. Sweat to take this on? “It’s part of living my

passion and purpose. My fulfi llment and joy comes from serving

others — whether clients or needy people in Kenya,” he said.

glo

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MARK WISE

Timmy Global Health

Northwestern Mutual Investment Services, LLC

Timmy Global Health pursues two noble goals at once —

to provide health care to the poorest of the poor and to

encourage a future health care workforce to think globally.

Mark Wise was recruited to the board 10

years ago and was hooked.

“It took one meeting to realize that the work the

organization was doing was profound,” he said.

Mr. Wise, a wealth management advisor in Indianapolis

with Northwestern Mutual Investment Services, LLC,

is now chairman of the nonprofi t, which has served

60,000 people abroad and locally since 1997.

Every year, Timmy deploys about 350 college students (mostly

pre-med and allied medical majors) from 26 student chapters

who go on a one-week medical brigade to communities in

Ecuador, Guatemala, the Dominican Republic or Nigeria.

The students bring medications and supplies, learn triage and

transport rural patients to scarce pharmacies. Back in the U.S., they

raise funds and secure medications for their adopted foreign clinics.

In Indianapolis, Timmy volunteers collect medications

to donate to international and local free clinics.

Mr. Wise sees a “huge parallel” between his fi nancial

advising work and his philanthropic work.

“I love helping others. I’m a good steward for my clients

and for the people Timmy serves,” he said.

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M E N T O R I N G E X C E L L E N C E

ROGER CARLSON

Working in the Schools (WITS)


Don’t tell Roger Carlson you don’t have time to

volunteer or it’s too inconvenient — it won’t fl y.

Mr. Carlson, a senior vice president in Chicago with Morgan

Stanley Smith Barney, has been involved for 20 years with

Working in the Schools (WITS), a literacy organization that serves

low-income and minority students in Chicago public schools.

His fi rst initiative was to charter buses to pick up downtown

volunteers to take them to the schools to tutor children.

Then, 16 years ago, he decided to make it even easier for

volunteers — and began using the buses instead to transport

the children to the offi ces. Thus was born the Workplace

Mentoring program, which brings kids for tutoring once a week

after school. About 730 advisors from 17 fi nancial services

fi rms take part, and other industries participate, as well.

Another of Mr. Carlson’s time-effi cient initiatives is the

Early Childhood Learning program, which brings tutors to

preschools for weekly one-on-one reading sessions.

A tireless and driven volunteer, he has also raised

more than $1 million for the agency since 1992.

“In this world, we’re so busy with careers and family that we

don’t always have time to think about people in need — but we

need to take time to have compassion,” Mr. Carlson said.

men

tor

21


DAVID PLYLER

Atlanta Youth Academy

Gleneagles GroupBNY Mellon

Kids are more ready to take on responsibility than most adults think,

said David Plyler, chief executive of Gleneagles Group in Atlanta.

To that end, he created the demanding Leadership 101 program

for the Atlanta Youth Academy, an inner-city Christian school.

“This young generation is very media-sensitive and focused

on instant gratifi cation. We teach them about patience, goal-

setting, staying on task, and achievement,” he said.

The year-long academic program is based on weekly

visits from mentors who teach seventh- and eighth-

graders about leadership, project management, teamwork,

careers, economics and the stock market.

Eighth-graders are divided into teams that serve the school

by performing community service, mentoring and special

projects, and are given complex initiatives to manage. For

example, each team is given a mock investment fund to

“trade” 20 stocks throughout the year. In a philanthropy

exercise, teams are given $3,000 to $5,000 to donate,

requiring them to research and interview different charities.

For Mr. Plyler, the benefi ts are broad.

“I’m a hands-on person; I’m not a person who can sit on

boards. I like to be in the fray. And it has reconnected me to

the passion I had for the civil rights movement in the ’60s.” men

tor

22


CHAD TISCHER

Midtown Educational Foundation

DiMeo Schneider & Associates, L.L.C.Schwab

Chad Tischer, principal at DiMeo Schneider & Associates,

L.L.C. in Chicago, has been an after-school tutor for

the Midtown Educational Foundation for 10 years, and

considers it simply a part of his normal routine.

The foundation provides after-school and summer academic

and character education programs for at-risk Chicago youth

from grades 4-12. The program has won many accolades

for its results, most notably that 100% of the program’s

seniors have gone on to college for 13 years in a row.

“I’m very busy, like lots of other people, so I like that the

program has a proven model that works,” Mr. Tischer said.

A typical two-hour tutoring session is very structured and

includes 30 minutes of sports or music, 75 minutes of

tutoring, 10 minutes of character education (through guided

discussion) and fi ve minutes of personal goal setting.

Mr. Tischer is co-chairman of the young professionals’

auxiliary board, which is charged with recruiting volunteers,

retaining current ones and fundraising for special projects.

The majority of tutors are in their 20s and 30s.

“I have a smile on my face every time I leave. I’m

a positive role model and help them understand

there are opportunities out there,” he said.men

tor

23

V O L U N T E E R T E A M

NATHAN J. BACHRACH

AND EDWARD J. FINKE

Honor Flight Tri-State

The Financial Network Group, Ltd.TD Ameritrade Institutional

The employees of the Financial Network Group, Ltd.

in Cincinnati are making sure that area World War II and

Korean War veterans get the appreciation they deserve.

Over the past two years, the fi rm has donated more than

$150,000 to support Honor Flight Tri-State, an organization

that fl ies veterans from Kentucky, Indiana and Ohio, free of

charge to visit the various war memorials in Washington, D.C.

The donations have funded free trips for about 500 veterans.

Why is this so important?

“They didn’t come home to any parades,” said Ed Finke,

The Financial Network Group’s managing partner. “It’s

the thanks they never got. It reaffi rms this critical event

in their lives and what they did and what they saw.”

Of the 16 million who served in these wars, about 3 million are left.

Besides raising funds, the fi rm has benefi tted the

non-profi t through tremendous free publicity.

Mr. Finke and business partner, Nathan Bachrach, have

frequently highlighted Honor Flight on their daily radio and

TV shows and in their weekly newspaper columns.

It has been an emotional and life-changing

experience, Mr. Finke said.

“I now fully understand the people I took for granted before.

I will support this cause for the rest of my life,” he said.

TEA

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24


ERICA COOGAN AND

KATHRYN GARRISON

Boys & Girls Clubs of King County– Infl uenceHer Program

Moss Adams Wealth Advisors LLCMoss Adams Securities & Insurance LLC

Erica Coogan is worried that the media is pressuring

young girls to sabotage their own futures.

“This pressure is causing girls in middle schools to see themselves

as sex objects, not potential leaders of companies. They’re dumbing

themselves down in school and bullying each other,” she said.

For this reason, Ms. Coogan, a partner with Moss Adams

Wealth Advisors LLC in Seattle, along with colleagues

Kathryn Garrison (advisor), and Ania Krol (marketing

coordinator), has become a volunteer leader for the Boys

& Girls Clubs of King County Infl uenceHer Program.

The three-year-old initiative is aimed at girls aged 10 to 18, and

supports role-model programming such as the SMART Girls

curriculum, which focuses on health education, fi tness and self-

esteem. Day-long community events cover specifi c themes

such as bullying, careers, positive choices and stereotypes.

Infl uenceHer has reached 6,000 girls in the Seattle

region since its inception in 2009. Moss Adams has

been the initiative’s primary sponsor; the volunteer team

has raised $186,000 over the past three years.

“Many girls think it’s not cool to be smart. If we don’t

nurture and guide them now, we’ll be losing half the

brainpower in the world,” Ms. Coogan said.TEA

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25


ROGER P. THEIS

Children’s Home and Aid (Rice Child and Family Center)

Merrill Lynch

About 140 advisors, associates, and support staff members of

the Bank of America Merrill Lynch Chicago West Complex have

“adopted” some 50 foster children from the Children’s Home and

Aid Daniel F. and Ada L. Rice Child and Family Center in Evanston,

Illinois, and Roger Theis says this is just the right proportion.

Mr. Theis, a fi rst vice president in Oak Brook, Illinois,

with Merrill Lynch Wealth Management, is team

leader for this 28-year-old volunteer project.

“The reason this volunteer relationship has been so

successful is because our contributors match up well

with the size of this organization. With 50 kids, we

can see we are making a difference,” he said.

The employees have raised more than $250,000 over the last 10

years to provide for the children, personally shopping for them

three times a year — for Christmas toys, for Easter goodies and

springtime sporting goods, and for back-to-school supplies.

Warm relationships have developed throughout

the years, as the kids often visit the offi ces, and

many of the volunteers visit the foster home.

“This project has a meaningful impact on the employees.

It excites them and generates a lot of enthusiasm as they

work together for a common mission,” Mr. Theis said. TEA

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26

V O L U N T E E R O F T H E Y E A R

2012

DAVID L. BLAYDES

The Wellness House

Retirement Planners International, Inc.National Planning Corporation

For David Blaydes, providing fi nancial planning to people with

cancer is a calling.

“I’m not going to say it’s easy. It’s emotionally draining. But it

grabs at your heart,” he said.

Mr. Blaydes, a certifi ed fi nancial planner, is chief executive of

Retirement Planners International, Inc. in Naperville, Illinois.

For more than 10 years, he has provided pro bono services for

the Wellness House in Hinsdale, Illinois, advising about 500

people a year. The agency provides a comprehensive array of

free programs for cancer patients and their families, including

classes, counseling, support groups, social events and

professional services.

“We help reduce the fi nancial stressors so they can focus on

their health,” Mr. Blaydes said.

He helps patients and families grapple with issues such as

being unable to work and losing income, access to retirement

plans without incurring penalties, access to disability benefi ts,

and estate planning.

Cancer has deeply touched Mr. Blaydes’ life, claiming his two

best friends and his mother.

His volunteer work imbues a greater sense of purpose into his

professional life.

“In our business, we’re always looking for ways to make more

money and get more clients,” he said. “But it’s not just about

fi nding the means, it’s about fi nding the meaning.”

27


2012

WILLIAM M. HULL

Heartstrings Community Foundation

The Capital Group, LLCQuestar Capital

Integrating people with developmental disabilities into the

community is priority No. 1 for William “Mack” Hull and his wife,

Anne, founders of the Heartstrings Community Foundation in

Overland Park, Kansas.

Mr. Hull is a principal of the Capital Group, LLC, also in

Overland Park.

When the Hulls realized that there were no career paths available

to people like their two sons, who have special needs, they

created Heartstrings, which consists of six businesses that

employ about 50 adults with moderate to severe disabilities in

normal jobs such as sales and delivery.

The businesses include a specialty candy packaging and delivery

service and fi ve retail stores.

All are convenient to transportation, and give the workers ample

opportunities for interacting with customers and avoiding social

isolation.

“The employees are so proud of their efforts and the reward of

friendships. They want to be called upon as friends because they

have diffi culty doing the calling,” Mr. Hull said.

Heartstrings’ success has inspired the Hulls to develop plans and

licensing to expand and replicate the model.

The employees are just like everyone else, he said.

“We all have our special needs, and they shouldn’t be ignored.

Think about your own, and think about others.”

28


JAMES E. PEARMAN, JR.

Mountain Valley Charitable Foundation

Partners in Financial Planning, LLCTD Ameritrade Institutional

Eastern Montgomery County, in mountainous southwest

Virginia, is home to once-thriving towns that — due

to decades of economic upheaval — have been

left isolated and impoverished, but resolute.

Jim Pearman, principal of Partners in Financial Planning, LLC

of nearby Salem, Virginia, grew up in the rural region and is

determined to improve the quality of life for its 6,600 residents.

“The economy changes, but we’re trying not to let it change

who we are,” he said. “We want to build up what we have.”

Over the past seven years Mr. Pearman has used his

extensive experience in fundraising and corporate

governance to help the tiny Mountain Valley Charitable

Foundation raise $2.5 million to transform an abandoned

nursing home into a community center that also houses a

public library, a YMCA, offi ce space and meeting rooms.

Mr. Pearman led capital campaigns, negotiated loans, updated

the fi nancial systems, created endowments, drafted policies

and personally donated more than $34,000 to the effort.

His heart guides his actions.

“I attribute my success to the principles I learned growing

up in this community — being a person of your word,

treating everyone with respect and equality. That’s

why I want to give — to make a difference here.”2012

50 Rockefeller Plaza New York, NY 10020 1-800-WP CAREY www.wpcarey.com

Investing for the Long Run™ W. P. Carey & Co. LLC (NYSE: WPC) is an investment company that seeks to provide long-term sale-leaseback and build-to-suit financing

for companies worldwide and manages a global investment portfolio of approximately $12.7 billion. Through its CPA® series of non- traded REITs, we help companies and private equity firms release capital tied up in real estate assets.

W. P. Carey Congratulates the Finalists of the 2012 Community Leadership Awards

Community Service Karen C. Altfest, Altfest Personal Wealth Management

Matthew J. Barbis, Creative Wealth Management David Steadly, Morgan Stanley Smith Barney

Global Community Impact Carl F. Bailey, Jr., Bailey & Beatty Financial Services

Scott Sweat, Alpha Omega Group Wealth Management Mark Wise, Northwestern Mutual Investment Services, LLC

Mentoring Excellence Roger Carlson, Morgan Stanley Smith Barney

David Plyler, Gleneagles Group Chad Tischer, DiMeo Schneider & Associates, L.L.C.

Volunteer Team Nathan J. Bachrach and Edward J. Finke, The Financial Network Group, Ltd.

Erica Coogan and Kathryn Garrison, Moss Adams Wealth Advisors LLC Roger P. Theis, Merrill Lynch

Volunteer of the Year David L. Blaydes, Retirement Planners International, Inc.

William M. Hull, The Capital Group, LLC James E. Pearman, Jr., Partners in Financial Planning, LLC

2

Making things better one life at a time.

Thank you for leading the way. Bank of America Merrill Lynch is proud to support

the Invest in Others Charitable Foundation and the Sixth Annual Community

Leadership Awards. Congratulations to the 2012 finalists for your outstanding

philanthropic efforts.

Visit www.bankofamerica.com/disclaimer for marketing disclaimer.

Opportunity to Support.FIDELITY INVESTMENTS IS PROUD TO BE A GOLD SPONSOR OF THE

INVEST IN OTHERS CHARITABLE FOUNDATION

COMMUNITY LEADERSHIP AWARDS AND SUPPORT THE EFFORT

TO EMPOWER THOSE WHO ARE COMMITTED TO SERVING OTHERS IN THEIR

PROFESSIONAL AND PERSONAL COMMUNITIES.

EVERY NEW DAY PRESENTS AN

© 2012 FMR LLC. All rights reserved.

Fidelity Investments and the Pyramid design logo are registered service marks of FMR LLC.

Invest in Others is an independent organization and is not affi liated with Fidelity Investments.

200 Seaport Boulevard, Z2F, Boston, MA 02210

Clearing, custody, or other brokerage services may be provided by National Financial Services LLC or Fidelity Brokerage Services LLC, Members NYSE, SIPC.

572294.9.0

Goldman Sachs

is a proud supporter of the

Invest in Others Charitable Foundation.

At Goldman Sachs, we take seriously our responsibility to our communities. Through our diverse philanthropic initiatives, we seek to help our people fulfill the firm’s commitment to assist our communities through financial support, volunteer endeavors and partnerships with non-profit organizations.

Helping communities at every level.

© 2012 Goldman Sachs. All rights reserved.

Lord, Abbett & Co. LLC 90 Hudson Street Jersey City, NJ 07302-3973 www.lordabbett.com

Lord Abbett congratulates all finalists

of the

community leadership awards

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Morgan Stanley is proud to support

Invest in Others Charitable FoundationCommunity Leadership Awards

We congratulate all of the Community Leadership Award fi nalists and honorees.

We thank you and applaud your dedication to your chosen causes and communities.

Sandler O’Neill + Par tners, L.P. – a full-service investment banking firm specializing in the financial services sector.

Capital Raising + Fixed Income and Equity Transactions + Mergers and AcquisitionsStrategic Business Planning + Mortgage Finance + Research Services + Balance Sheet Management

Sandler O’Neill + Par tners is proud to support the

Invest in Others Charitable Foundation

Hellman & Friedman salutes Invest in Others

and the outstanding group of tonight’s committed

HELLMAN & FRIEDMAN LLC

Giving back to help build stronger communities.That’s Better thinking. Together.®

Natixis is proud to support the 2012 Community Leadership Awards.

529313ADUS193-0212

Congratulates the

Invest in Others

2012 Community Leadership

Awards Finalists

and Honorees

3

www.resourcerei.com

Congratulations to AllLeadership Award Honorees

» Committed to Community

» A Proud Sponsor of Invest in Others Charitable Foundation

» Impact Investment Programs for Your Clients

4

1 800 353 0103 | broadridge.com

Broadridge applauds the efforts of this year’s 2012 Community Leadership Award Honorees, & The Invest in Others Charitable Foundation for all they do to enrich lives and communities.

Broadridge Financial Solutions, Inc., is a leading global provider of technology solutions to the financial services industry. Our systems and services include investor communication solutions, securities processing solutions, and clearing and outsourcing solutions.

©2012 Broadridge Financial Solutions, Inc. Broadridge and the Broadridge logo are registered trademarks of Broadridge Financial Solutions, Inc.

Community Leaders,Making an ImpactAs a proud sponsor of the 2012 Community Leadership Awards, CNL Securities congratulates all award fi nalists and honorees for the impact that they have made in their communities. You are an inspiration to us all.

CNL Securities is a member of FINRA/SIPC.www.CNLSecurities.com© 2012 CNL Intellectual Properties, Inc. All Rights Reserved.CNL® and the Squares Within Squares design trademarks are used under license from CNL Intellectual Properties, Inc.

5

to the 2012 Community Leadership Award Honorees. Dreyfus thanks you all for your generosity to your chosen charities and dedication to your communities.

© 2012 MBSC Securities Corporation

Congratulations

Batterymarch I Brandywine Global I ClearBridge Advisors I Esemplia Emerging MarketsGlobal Currents I Legg Mason Capital Management I Legg Mason Global Asset AllocationLegg Mason Investment Counsel I Permal I Royce & Associates I Western Asset Management

Legg Mason Investor Services, LLC is a subsidiary of Legg Mason, Inc.© 2012 Legg Mason Investor Services, LLC. Member FINRA, SIPC 407682 LGEN011965 7/12 FN1212437

We are pleased to sponsor the Invest in Others Community Leadership AwardsAt Legg Mason, we understand how the specialized expertise and outstanding service you provide to your clients makes a world of difference — because that’s what we stand for too.

Specialized expertise. It makes all the difference.

Legg Mason Capital Management

Western Asset Management

BatterymarchFinancialManagement

Brandywine Global Investment Management

Royce & Associates

ClearBridge Advisors

Global Currents Investment Management

Legg Mason Global Asset Allocation

The Permal Group

Fundamental, valuation-based investing

Fixed incomeGlobal quantitative equity

Global value investing

Small-cap equityQuality focused equity

Global equity asset management

Strategic and tactical asset allocation

Global alternative funds-of-funds

Thank you for your service to your community and to our industry.

We’re honored to work among you.

d expertise and a world of

Community Service Award

Karen C. AltfestYorkville Common PantryAltfest Personal Wealth Management

Matthew J. BarbisThe Rose Brucia Educational Foundation Creative Wealth Management Royal Alliance Associates, Inc.

David SteadlyHyde Leadership Charter SchoolMorgan Stanley Smith Barney

Global Community Impact Award

Carl F. Bailey, Jr.Connecticut Quest for Peace Bailey & Beatty Financial Services Commonwealth Financial Network

Scott Sweat David’s Hope International Alpha Omega Group Wealth Management Multi-Financial

Mark WiseTimmy Global HealthNorthwestern Mutual Investment Services, LLC

Congratulations to the 2012 Community Leadership Award NomineesFrom New York Life & MainStay Investments

Mentoring Excellence Award

Roger CarlsonWorking In The Schools (WITS)Morgan Stanley Smith Barney

David PlylerAtlanta Youth AcademyGleneagles Group

Chad TischerMidtown Educational Foundation DiMeo Schneider & Associates, L.L.C. Schwab

Volunteer Team Award

Nathan J. Bachrach and Edward J. FinkeHonor Flight Tri-State The Financial Network Group, Ltd. TD Ameritrade Institutional

Erica Coogan and Kathryn GarrisonBoys & Girls Clubs of King County - Infl uenceHer Program Moss Adams Wealth Advisors LLCMoss Adams Securities & Insurance LLC

Roger P. TheisChildren’s Home and Aid (Rice Child and Family Center) Merrill Lynch

For more information about New York Life & MainStay Investments, call 888-474-7725 or visit wealthsolutionsforlife.com.

Volunteer of the Year Award

David L. BlaydesThe Wellness House Retirement Planners International, Inc. National Planning Corporation

William M. HullHeartstrings Community FoundationThe Capital Group, LLC

James E. Pearman, Jr.Mountain Valley Charitable FoundationPartners in Financial Planning, LLC

MainStay Investments is a registered service mark and name under which New York Life Investment Management LLC does business. MainStay Investments, an indirect subsidiary of New York Life Insurance Company, New York, NY 10010, provides investment advisory products and services.

NYLIM-27232

Nuveen Investments is proud to sponsor the Invest in Others Charitable Foundation’s 2012

Community Leadership Awards, honoring the philanthropic and volunteer activities of

fi nancial advisors across our industry, and extends our gratitude to those advisors who are

making a profound difference in the lives of people in their communities. By partnering

with individuals and organizations to assist nonprofi t agencies supporting a broad range of

important humanitarian causes, the Invest in Others Charitable Foundation truly enriches us all.

For more information on our fi rm, visit nuveen.com.

© 2012 Nuveen Investments, Inc.

C O M M U N I T Y.

IT’S HARD TO

IMAGINEA BETTER INVESTMENT THAN THIS.

2012

1776 Pleasant Plain Road | Fairfield, Iowa 52556

We value your values

CongratulationsHonorees

Securities offered through Cambridge Investment Research, Inc., a broker-dealer, member FINRA/SIPC, and investment advisory services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Adviser. Both are wholly-owned subsidiaries of Cambridge Investment Group, Inc. V.CIR.0812

Sanford C. Bernstein & Co., LLC

Congratulatesthe Community Leadership Award Honorees

and is proud to support the

Invest in Others Charitable Foundation

Independence and Insight. Sanford C. Bernstein has been serving institutional clients all

over the world since 1967. Our hallmark is unbiased, industry-leading company and industry

research that delivers the insights our clients are looking for. Complementing our highly

regarded research is our unparalleled trading and capital markets execution. We also serve as

a gateway through which our clients gain direct access to corporate issuers and executives.

© 2012 Sanford C. Bernstein & Co., LLC and AllianceBernstein L.P.

66

The Invest in Others Charitable Foundation wishes to thank

everyone for the generous support of this event and the

fi nalists and honorees it recognizes, making it possible for

incredible fi nancial advisors to continue – and even expand –

the difference they are making in the world.

Your support of the Community Leadership Awards will

continue long after this evening - touching people you will

never meet and changing lives in ways you cannot imagine.

Thank you for joining us for our sixth year of celebrating the

remarkable spirit of the fi nancial services industry.

5

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2012_cla_dinner_journal.pdf

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