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

vic

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

ser

vic

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

vic

e1

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

bal

2

18

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.

glo

bal

19

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.

glo

bal

20

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

tor

21

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

tor

22

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

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

M

24

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

M

25

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

M

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

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