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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.
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
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
TD Ameritrade Institutional
12
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.
14
C O M M U N I T Y S E R V I C E
ser
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eKAREN 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.”
15
C O M M U N I T Y S E R V I C E
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e
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
C O M M U N I T Y S E R V I C E
DAVID STEADLY
Hyde Leadership Charter School
Morgan Stanley Smith Barney
“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.ser
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17
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
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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
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.
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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
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)
Morgan Stanley Smith Barney
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
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M E N T O R I N G E X C E L L E N C E
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
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M E N T O R I N G E X C E L L E N C E
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
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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.
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V O L U N T E E R T E A M
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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V O L U N T E E R T E A M
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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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
V O L U N T E E R O F T H E Y E A R
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
V O L U N T E E R O F T H E Y E A R
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
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