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September 18, 2014 New York City
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DINNER CO-CHAIRS
EVENING EMCEE
Bill Dwyer
Chairman of the Board, Invest in Others Charitable Foundation
Suzanne Siracuse
Vice President/Publisher, InvestmentNewsBoard Member, Invest in Others Charitable Foundation
Guy Adami
CNBC ContributorBoard Member, Invest in Others Charitable Foundation
OPENING PERFORMANCE
presented byNuveen Investments
Camden Sophisticated Sisters Drill Team
CATALYST
presented byRCS Capital
Patrick Baldwin| Summer of a Lifetime
George T. Cox| Alexander Hamilton Friends Association
Michael J. Skrynecki | Wiskott-Aldrich Foundation
COMMUNITY SERVICE
presented by
LPL Financial
Patrick McClain | Sacramento Food Bank and Family Services
B. Wistar Morris, III | Boys & Girls Clubs of Central VirginiaBill Pearson| Autism Society of Alabama
GLOBAL COMMUNITY IMPACT
presented byAllianz LifeFinancial Services, LLC
Tyson Jon Ray | Childrens World Impact
David S. Richmond| Lingap Childrens Foundation
Randall M. Thompson | Pure Water for the World
KEYNOTE SPEAKER
presented by
TD Ameritrade Institutional
Anne MahlumFounder and former CEOBack on My Feet
VOLUNTEER OF THE YEAR
presented byFidelity Investments
Billy C. Peterson | Livastride Foundation
Lynn Phillips-Gaines| Starkville Bridges Out of Poverty
J. Thomas Uhler| United Way of Lee, Hendry, Glades and Okeechobee
LIFETIME ACHIEVEMENT
presented byW.P. Carey & Co. LLC
Alexandra Armstrong| Foundation for Financial Planning
John Laurents| The Charlotte Optimist Club/Optimist International NorthCarolina West District
Jim Richardson| Lexington Dream Factory
Welcome to the eighth annual Community Leadership Awards dinner.
EVENINGAGENDA
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Im pleased to welcome you to the eighth annual Invest in Others Community
Leadership Awards. Each year on this special night, we celebrate the inspirational
efforts of nancial advisors who are dedicated to changing the lives of others in
communities across the country and around the world.
Its been an exciting year at the Invest in Others Charitable Foundation. We
welcomed the Foundations rst two full-time employees, who have been hard
at work professionalizing the organization and executing programs to fulll our
mission in new and exciting ways. Our Board of Directors has grown with the
addition of seven new members, bringing to us notable expertise while expanding our partnerships with rms
and organizations across the industry. We are excited to leverage this progress as we encourage and supportthe philanthropic and volunteer activities of even more remarkable advisors like the ones we recognize tonight.
I want to thank this years nalists for bringing hope each day to many deserving people throughout our nation
and for reminding us what really matters. I would also like to extend a special thank you to all of tonights
sponsors. Your generosity makes the Community Leadership Awards possible and allows us to continue
to recognize and support the incredible causes for which nancial advisors are so passionate. Enjoy this
inspirational evening!
InvestmentNewsis once again proud to partner with the Invest in Others
Charitable Foundation to honor the nancial advisors who exemplify what it
means to be a true community leader. We congratulate the nalists on the
outstanding contributions they have made to their communities, and are excited
to honor them here tonight.
We invite you to read the September 15 issue of InvestmentNews, which
highlights each of the nalists not only so you can learn more about them, but
also to communicate their message to thousands of other advisors who can be inspired by their stories.
With hundreds of nominations this year, judging was as difcult as ever. I would like to thank my fellow judges
who helped determine our nalists: Dale Brown from the FSI, Kevin Keller from the CFP Board, John Maurello
from SIFMA, Jim Peniston from the FPA, and Sean Walters from IMCA. From the InvestmentNewsteam, they
are Frederick P. Gabriel, Jr., Matt Ackermann, Lorie Konish and Christina Nelson. I would also like to thank our
sponsors who continue to support this important event. We could not host this event without you.
Finally, thanks to all of you who are here tonight to show your support for these wonderful role models within
the nancial advisory industry. I am sure this evening will prove to be inspirational for us all and encourage
even more advisors to share their stories with us in 2015.
BILL DWYERChairman of the Board, Invest in Others Charitable Foundation
Suzanne SiracuseVP/Publisher, InvestmentNewsBoard Member, Invest in Others Charitable Foundation
W E L C O M E M E S S A G E S
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Board ofDirectors
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
nancial advisors in their local community. investinothers.org
O U R M I S S I O N
Suzanne SiracuseVP/Publisher
InvestmentNews
William KahaneCEO
RCS Capital
John Hyland, CFPManaging Director
Private Advisor Group
Mark GoldbergManaging Director
W. P. Carey Inc.
PresidentCarey Financial, LLC
Guy AdamiCNBC Contributor
Bill DwyerChairman of the Board
Invest in OthersCharitable Foundation
Wayne BloomCEO
Commonwealth
Financial Network
Heather Randolph CarterPresident, Invest in Others
Charitable Foundation
EVP, CorporateCommunication
LPL Financial
Stephanie L. BrownOf Counsel
Markun Zusman Freniere
Compton LLP
Joy GobleTreasurer, Invest in Others
Charitable Foundation
SVP, Preservation StrategyLPL Financial
Brad CornellEVP, Sponsor Relations
LPL Financial
Joseph G. Imbriani, Esq.,CPA/PFS
Clerk, Invest in Others
Charitable FoundationPartner
Taylor, Ganson & Perrin, LLP
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OPENINGPERFORMANCE
Camden Sophisticated SistersThe Camden Sophisticated Sisters Drill Team (CSS) is a non-prot youth empowerment
organization whose mission is to motivate, educate and empower through the structure and
discipline of a drill team and the performing arts.
Tawanda Jones and her husband, Robert L. Jones, Sr., established the Camden Sophisticated
Sisters Drill Team to provide a safe haven for children in one of the nations most dangerous
cities, Camden, New Jersey.
The City of Camden has often been referred to as a warzone; it is one of the poorest cities in
America with a poverty rate of 42%. The city has very few positive outlets for kids, but despite
Camdens obstacles, the youth that call the city home have tremendous talent and spirit.
CSS believes in the potential that exists in each child, and it is their mission to inspire every
single one of them. Teaching not only the art of dance, but also the power of education and
the importance of service, CSS has seen more than 4,000 children successfully come through
the program. The organization boasts a 100% graduation rate with 90% of its team members
attending institutions of higher learning.
Over the past 27 years, CSS has helped provide the foundation required to produce hundreds of
successful professionals, who are still a part of CSS and many reside in the Camden community.
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Anne Mahlum
Anne Mahlum is the Founder and former CEO of Back on My Feet, a non-
prot organization that uses the power of running to help those experiencing
homelessness change their lives by changing the way they see themselves.
With her vision, Back on My Feet is now a $6.5M organization with 11
chapters nationwide, and has helped thousands of people redene their
lives to make lasting changes such as housing and employment.
She was named a Top 10 CNN Hero for her work toward changing the
perception of homelessness on a global scale; shes a two-time TEDx speaker
and a frequent speaker at corporate events and conferences, inspiring and
reminding audiences everywhere that change begins with just one step.
She is also a marathoner having completed 11 marathons, including one
on every continent except Antarctica as well as a three-time triathlete.
Last year she started a new company in D.C. called solidcore a high-
end tness studio that features the Lagree Fitness Method, and its
probably no surprise that shes already expanded to four locations.
K e y n o t e S p e a k e r
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Thank you to this years judges who dedicated their valuable time
to the Community Leadership Awards.
Matt Ackermann
Director of Digital Content
InvestmentNews
Dale E. Brown, CAE
President & CEO
Financial Services Institute
Frederick P. Gabriel, Jr.
Editor
InvestmentNews
Kevin R. Keller, CAE
Chief Executive Ofcer
CFP Board
Lorie Konish
Assistant Managing Editor
InvestmentNews
John J. MaurelloManaging Director,
Private Client Group
Securities Industry and
Financial Markets Association
Christina Nelson
Series & Features Editor
InvestmentNews
James A. Peniston
Executive Director
Foundation for
Financial Planning
Suzanne Siracuse
VP/Publisher
InvestmentNews
Board Member
Invest in OthersCharitable Foundation
Sean R. Walters, CAE
Executive Director & CEO
Investment Management
Consultants Association
2 0 1 4 J u d g e s
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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
DIAMOND KEYNOTE SPEAKER
TD Ameritrade Institutional
GOLD
InvestmentNews
SILVER
Dwyer Foundation
Goldman Sachs
Nationwide Financial
Natixis Global Asset Management
BRONZE
Columbia Management
DST
OppenheimerFunds, Inc.
COMMUNITY
AIG Life and Retirement
Ameriprise Financial
BlackRock
Broadridge Financial Solutions
Cole Capital
Commonwealth Financial Network
Delaware Investments
Deloitte
Franklin Templeton Investments
John Hancock Investments
COMMUNITY (continued)
KBS Capital Markets Group
Legg Mason Global Asset Manageme
Lincoln Financial Distributors
Lord Abbett
New York Life MainStay InvestmentsPioneer Investments
Putnam Investments
Raymond James
Resource Real Estate
Thomson Reuters Wealth Manageme
Transamerica Capital, Inc.
WilmerHale
DINNER JOURNAL
Citi
SunTrust Robinson Humphrey
FRIENDS
AXA Distributors, LLC
Cambridge Investment Research
Haven Tower Group
Signature Family Wealth Advisors
Touchstone Funds
*Sponsors as of print date
K e y C o n t r i b u t o r s
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Categories2 0 1 4
CatalystPresented to an advisor who has been an active stimulus for positive change and
has displayed entrepreneurial vision and leadership in his or her organization,
for at least two years. This may have been demonstrated by rejuvenating their
organization from failing to thriving, by working to create a new community
program from the ground up, or by helping to launch a new nonprot organization.
Community ServicePresented to an advisor who has made managerial contributions to a local, non-
prot organization - as a fundraiser, organizer, board member, or other executive
position - over a period of at least ve years, has made an outstanding contribution
to the community, and has served with distinction.
Global Community ImpactPresented 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.
Volunteer of the Year
Presented to an advisor who has been actively serving as a volunteer at one
or more local non-prot organizations for at least two years and has made a
contribution considered to have a lasting impact in his/her community.
Lifetime AchievementPresented to an advisor who has an established history of distinguished service,
has made a profound contribution to his or her organization, has exhibited
leadership and provided inspiration, and gained recognition and respect from peers
and the community over a period of a decade or more, helping the organization
evolve and creating a lasting impact on the future of the organization.
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Congratulations!2014 Community Leadership Awards Finalists
CATALYST
Patrick Baldwin | Summer of a Lifetime
George T. Cox | Alexander Hamilton Friends Association
Michael J. Skrynecki | Wiskott-Aldrich Foundation
COMMUNITY SERVICEPatrick McClain | Sacramento Food Bank and Family Services
B. Wistar Morris, III | Boys & Girls Clubs of Central Virginia
Bill Pearson | Autism Society of Alabama
GLOBAL COMMUNITY IMPACT
Tyson Jon Ray | Childrens World Impact
David S. Richmond| Lingap Childrens Foundation
Randall M. Thompson | Pure Water for the World
VOLUNTEER OF THE YEAR
Billy C. Peterson| Livastride Foundation
Lynn Phillips-Gaines | Starkville Bridges Out of Poverty
J. Thomas Uhler | United Way of Lee, Hendry, Glades and Okeechobee
LIFETIME ACHIEVEMENT
Alexandra Armstrong| Foundation for Financial Planning
John Laurents| The Charlotte Optimist Club/Optimist International North Carolina West District
Jim Richardson| Lexington Dream Factory
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1515
These kids in poverty, if given an opportunity and a chance, will be
successful, said Patrick Baldwin, a senior vice president with the Baldwin-
Marcovici Group in Chicago, part of the private banking and investment
group at Merrill Lynch.
Mr. Baldwin has volunteered since 1999 for Right Angle, an organization
that enables local low-income minority high school students to experience
the Summer of a Lifetime by attending college summer programs to get
a taste of higher education. He served as board president from 2008-13,
helping Right Angle grow by fundraising to increase the organizationsannual budget, hiring its rst Executive Director, driving the development of
promotional materials, spearheading a board restructuring, and expanding
Right Angles network of community ambassadors.
In Chicago, it is estimated that as few as 11% of public school students will earn
a college degree. In recent years, 99% of Right Angles participants decided to go
to college as a result of the groups Summer of a Lifetime program.
What began in 1997 as funding for 25 students has mushroomed to 750
students in 2014 attending 69 college programs across the U.S. About
3,000 students have benetted so far. Students are recruited from a network
of 14 charter schools.
I think were at a tipping point, about to explode. Its working and growing
exponentially, he said. The program has resonated with donors because
the results are so practical and concrete. They can have a direct impact by
funding scholarships for one student or a group.
Its been an awesome ride and its only getting better.
CATALYST
Patrick BaldwinSummer of a LifetimePrivate Banking and Investment Group | Merrill Lynch -The Baldwin Marcovici Group
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What Ive been seeing is a serious disconnect from high school to
college and beyond that is impeding kids ability to succeed, said George
Cox, a certied nancial planner and senior vice president of the Cox
Shook Harsch Group at Morgan Stanley in Seattle.
In 2004 he did something about it, founding the Alexander Hamilton
Friends Association to, in his words, create leaders of character to
improve our nation and our world. The association is named after
Alexander Hamilton, one of the founding fathers of the United States.
Hamilton is a mentor to me. He had a big idea the concept of the
United States. We want young people to identify the great visions for
their lives and bring it into their daily lives, Mr. Cox said.
With a focus on low-income students, the organizations core is the
Hamilton Leaders Academy, a ve-year program that accepts 35 high
potential high school juniors a year. Over the past 10 years, there have
been about 250 participants in 46 statesmany of whom have gone to
Americas top universities and colleges.
The program helps students manage their transitions from high school
to higher education to the workplace by offering professional mentors,
peer support, internships, educational programs, and assistance in
nding scholarships. Training and mentoring take place both virtually and
through week-long conferences in the U.S. and internationally.
American leadership is faltering and we need to put the emphasis on
the right things to nd our next leaders, Mr. Cox said.
CATALYST
George T. CoxAlexander Hamilton Friends Association
The Cox Shook Harsch Group | Morgan Stanley
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There are so many unknowns when you have an orphan disease,
said Mike Skrynecki, a nancial advisor with Morgan Stanley in Atlanta.
He is the founder and chairman of the Wiskott-Aldrich Foundation, a
nonprot dedicated to supporting families of children with Wiskott-Aldrich
Syndrome, a rare immunodeciency disease that affects one in 250,000
males. He founded the organization after the son of a long-time friend
was diagnosed with the disease.
The organization has grown quickly, thanks to Mr. Skryneckis strategic
vision and professional background. A certied fund-raising executive, hespent 15 years working in the nonprot eld.
In 2010, the Wiskott-Aldrich Foundation, which had primarily been focused
on helping families, was transformed by a strategic merger with another
WAS organization focused on scientic research. The combination created
a bridge between patients and the global scientic community.
Since its establishment in 2002, the foundation has launched the rst-
ever WAS research projects, organized two WAS family and researchers
conferences, created an information and resource website used by
several thousand families and physicians world-wide, published the rst
WAS family and patient guide, and provided over $1 million in direct andindirect assistance to families.
Even more important than the money we give to families is the emotional
support, the answers and the family support network we provide. Weve
been the only support for these families were their lifeboat.
CATALYST
Michael J. SkryneckiWiskott-Aldrich FoundationMorgan Stanley
A W A R D S
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Patrick McClain, chief executive of Hanson McClain Advisors in
Sacramento, Calif., has been volunteering for Sacramento Food Bank and
Family Services for more than half his life.
His relationship the organization began when he was a college student in
1985. Mr. McClain continued on to serve as a board member for 15 years,
including as board chairman for the past ve years.
As chairman, he has overseen successes such as a multimillion-dollar
fundraising campaign, the construction of a 22,500 square foot Educationand Technology Center, which contains a computer lab and demonstration
garden for clients, and an innovative program that eliminates a centralized
distribution center and brings fresh food closer to the customer in 12
locations across the region. Sacramento Food Bank and Family Services is
able to feed, clothe, and educate over 40,000 Sacramento-area residents
each month.
He has used his deep organizational knowledge and management
experience to transform the board, instituting term limits and accountability.
I fought with the old-timers it took about a year. But your job on a board
is to provide leadership insight and help build a team to accomplish it, said
Mr. McClain, who is a chartered nancial analyst.
The rst thing I did was ask What are the areas we need specialists in?
I divided up the board like a [regular] business board, recruiting expertise in
facilities, logistic, nances, HR, and education, Mr. McClain said.
You set up a road map, and then just get out of the way and let them work.
COMMUNITY SERVICE
Patrick McClainSacramento Food Bank and Family Services
Hanson McClain Advisors | Hanson McClain Securities
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1919
As chairman of the board of the Boys & Girls Clubs of Central Virginia,
Wistar Morris has led the organization in a fundraising campaign that
brought in $1.5 million, enabling the club to open its sixth site within its
100-mile-wide service area and increase the number of children served
to 1,000 a day. He has overseen a period of enhanced club program
outcomes, with at least 90% of the members progressing to the next
grade level on time.
Furthermore, Mr. Morris, a lawyer and client strategist with Signature, a
family wealth advisory rm in Charlottesville, Va., has elevated the localclub to the top ve in the U.S. in terms of donors who give annual gifts of
at least $10,000.
When asked whats behind his drive, he credits the community.
Theres a very strong nonprot culture in our community. Charlottesville is
a locus of a substantial amount of wealth. There is a lot of intellectual and
monetary capital, which nds outlets in many ways in our area, he said.
Kids are easy this cause is noncontroversial, he said.
There are lots of things in the country were polarized about. But we
have equal numbers of people on the right and left who are donors.Everyone can agree that if you match a child in need with mentors and a
nurturing environment with fun and educational programs you get
great outcomes.
COMMUNITY SERVICE
B. Wistar Morris, IIIBoys & Girls Clubs of Central VirginiaSignature Family Wealth Advisors | Charles Schwab
A W A R D S
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Ever since his grandson was diagnosed with autism 12 years ago, Bill
Pearson has worked with a grandfathers passion to improve the lives of
people with autism and their families.
Mr. Pearson, a nancial advisor and senior vice president with the Pearson
Hand & Chua Group at Morgan Stanley in Birmingham, Ala., has served on
the board of the Autism Society of Alabama since 2008, including a term as
board president from 2011-13.
Two of his most signicant achievements include successfully lobbying thestate to improve private insurance coverage for autism spectrum therapies
and attaining an Alabama Department of Revenue specialty auto license
plate for autism spectrum disorder, an important tool for fundraising and
building awareness.
Mr. Pearson is also championing a local, church-supported residential home
for adults with autism spectrum disorder to use as a model housing solution
on the state and national level.
Theres been a surge in young adults with autism. Whats going to happen
to them? Housing and residential care is a challenge, Mr. Pearson said.
His activism comes from his heart.
When you have a grandchild with some kind of condition, you are also
thinking about the suffering of your own child. We hurt for both of them.
This work has provided me an outlet to help not only my family but the
community as well.
COMMUNITY SERVICE
Bill PearsonAutism Society of Alabama
Pearson Hand & Chua Group | Morgan Stanley
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In the three years since Tyson Jon Ray launched Childrens World Impact,
the nonprots momentum has been unstoppable. Mr. Ray is a founding
partner of FORM Wealth Management Group in Lake Geneva, Wisconsin.
The charity, which focuses on care and community development for
widows and orphans, was a response to the 2010 earthquake in Haiti,
which left 750,000 children orphaned.
Childrens World Impact has conducted a medical mission in Haiti that
served 3,000 patients; built an elementary school for 400 kids and a boyshome for 120 kids; and, stateside, paid for and packaged 450,000 meals
to send to orphans, with the help of more than 500 volunteers from Lake
Geneva (a town of less than 8,000).
Since expanding services to Ghana in 2011, the organization has built a
well, a bakery and a processing plant to enable more than 1,400 widows
and orphans to create a sustainable income by selling water, bread and
shea butter.
How did they accomplish so much so quickly?
The facts that we are self-funding (with no overhead) and we could
show results so quickly attracted donations. Also, we only fundraise fora specic project, $20,000 to $30,000 at a time, so it is achievable. And
we share results via social media, which creates more excitement and
interest, Mr. Ray said.
Global Community Impact
Tyson Jon RayChildrens World ImpactFORM Wealth | Raymond James
A W A R D S
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For 11 years, Dave Richmond, partner with Richmond Brothers Inc.
in Jackson, Mich., provided stateside nancial support for the Lingap
Childrens Foundation. The group serves children in Toledo City, Cebu,
Philippines who are victims of abuse, neglect, exploitation or abandonment.
In 2006, he was given an invitation he couldnt refuse. The organizations
founder, John Drake, said to him, You guys have helped us for so long
why not come see what we do?
I dont know why, but I said yes, Mr. Richmond said. The experienceopened my eyes to what poverty is.
He has since gone back 25 times to the Philippines and is now the second-
in-command for the charity.
The foundation, established in 2003, provides housing for 100 poor children
and funds their education and vocational training, and reaches out to
thousands more with food, education and home visits.
Through my work with LCF, I have been shown what love is: sometimes
its giving and sometimes its just being in the moment with another human
being, he said.
Mr. Richmond acknowledges it can be daunting to travel to faraway
countries and confront their suffering.
Let yourself feel it take the chance say yes. See where that journey
will lead you.
Global Community Impact
David S. RichmondLingap Childrens Foundation
Richmond Brothers, Inc. | Fidelity Investments
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In 2010, Randy Thompson, a nancial advisor with Lincoln Financial
Advisors in Houston, volunteered to go to Haiti to survey the work of Pure
Water for the World as a representative of his local Rotary club.
It was a sea change in my life a very deeply moving experience, he said.
The charitys mission is simple but profound: it provides life-saving
water lters, hygiene education, monitoring and follow-up support to
impoverished rural communities in Haiti and Honduras.
According to the organizations website, 780 million people worldwidehave only contaminated water to drink, resulting in diseases such as
cholera that kill millions each year, mostly children. Since 2008, the
nonprot has had an impact on almost 500,000 people.
Its not just pain and desperation, theres also joy, Mr. Thompson said.
Though he has seen people die from cholera, he has personally raised
money to help whole villages receive the inexpensive lters and services.
It averages just $300 to help one family.
Donor support comes from around the U.S., with about one-third of
donations coming from Rotary Clubs, one-third from churches and one-third from grants and individuals.
What does he see as the ripple effect?
On a macro level, their economy will grow; on a micro level, they wont
have to watch their children die.
Global Community Impact
Randall M. ThompsonPure Water for the WorldLincoln Financial Advisors
A W A R D S
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The subject of suicide is taboo, but it needs to be talked about. We cant
tap-dance around it, said Billy Peterson, owner of Peterson Wealth Services
in South Ogden, Utah, and founder of the Livastride Foundation.
Soon after his brother Brody took his life in October 2009, Mr. Peterson was
moved to start a program to give young people something more to live for. The
name Livastride, coined by Brody, is meant to represent the opposite of suicide.
The foundation began by awarding a scholarship to a Utah student who had either
attempted suicide or had been affected by a loved ones suicide experience.The message we wanted to give was Dont give up let us help you see those
dreams come true, said Mr. Peterson, a certied nancial planner.
Inspired by his passion for sports, he also created a baseball tournament that
now hosts 55 teams with thousands of spectators a huge captive audience.
We use the opportunity to tell kids, Be a leader stop bullying when you see
it. Before the games, we tell the coaches to teach the kids how to win and lose
humbly, and teach them how to deal with adversity, Mr. Peterson said.
I want to see the kids emotionally, spiritually and nancially stable. Were
trying to provide a bridge to all these things.
Volunteer of the Year
Billy C. PetersonLivastride Foundation
Peterson Wealth Services, Inc. | Raymond James
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2525
For many years, Lynn Phillips-Gaines, a principal of Phillips Financial in
Starkville, Miss., held a common misconception about people in poverty.
I used to see those less fortunate make poor nancial decisions and think
that it was because they were irresponsible or just didnt care, she said.
Three years ago, she read a book, Bridges Out of Poverty, that changed
her outlook and inspired her to transform how her community worked
toward eradicating local poverty. She came to see that neither the middle
class nor the poor understand the mindsets of the other.Program developers, usually middle class, based their approaches on
their own socioeconomic mental models for example, requiring lengthy
applications. But can clients read well enough? Are they organized
enough to respond? Instead, they need an in-person process, Ms.
Phillips-Gaines said.
In 2011, she founded Starkville Bridges Out of Poverty to educate each
group about the other and to build relationships between them.
The curriculum includes discussions about nances, community
resources, predatory lending and causes of poverty. Those in poverty are
treated as equal participants in creating their own plans to reach theirideal nancial, professional, and spiritual situations. After the education
component, they are paired with middle class allies who guide and
support them for two years.
Im convinced that this is the path to success working together as
equals, she said.
Volunteer of the Year
Lynn Phillips-GainesStarkville Bridges Out of PovertyPhillips Financial | Raymond James
A W A R D S
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2727
Since 1996, Alexandra Armstrong, principal of Armstrong Fleming & Moore
Inc. in Washington, D.C., has helped raised more than $10 million for the
Foundation for Financial Planning, an organization that focuses on providing
pro-bono nancial planning to low- and moderate-income individuals.
The cause has attracted support from some 50 corporations and more
than 14,000 individual donors.
The reason it resonates is because its an endowment fund.
Furthermore, our profession is maturing and this is a way to give backto our profession and ght nancial ignorance, said Ms. Armstrong, a
certied nancial planner.
Over the past 18 years, the foundation has provided more than $5.5
million in grants to more than 225 community-based organizations across
the U.S. to facilitate pro-bono nancial planning for the underserved.
More than 320,000 individuals have directly beneted, including members
of the military, veterans, victims of disasters, low- and moderate-income
families, and students.
Studies have shown that nancial coaching can help low- and moderate-
income beneciaries save money, reduce debt and improve their credit scores.
Ive always loved our profession because you help people achieve
their goals and its the same thing with this foundation work. Youre
helping people get control of their nancial lives for the rst time. I nd it
immensely satisfying, Ms. Armstrong said.
Lifetime Achievement
Alexandra ArmstrongFoundation for Financial Planning
Armstrong, Fleming, & Moore, Inc. | Commonwealth Financial Network
A W A R D S
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In 2009, John Laurents, serving his fourth term as president of the
Charlotte, N.C., Optimist Club, had a vision of a program that would
both keep kids from dropping out of school and encourage younger
people to become Optimists.
Five years later, his Youth Empowerment Service the YES initiative
has reached more than 2.5 million teens in the United States,
Canada and the Caribbean.
An Optimist for 46 years, Mr. Laurents of Matthews, N.C., is aregistered representative of Questar Capital Corp.
The core of the initiative for at-risk youths is the book, Success for
Teens, which teaches students time management, goal setting,
self-esteem, self-motivation, dream building and how to dene a
purposeful life. The eight-week program is frequently facilitated
by students from college Optimist clubs. The Success Foundation
provides the books free of charge.
The YES initiative partners with Sylvan Learning Center, Big Brothers/
Big Sisters, and Communities in Schools to provide additional
services to the kids.
We have an enormous responsibility and opportunity to bring out the best
in our youth, said Mr. Laurents. If we dont, within the next 10 years were
going to be dealing with millions of kids who dont have a high school
diploma.
Lifetime Achievement
John LaurentsThe Charlotte Optimist Club/Optimist International North Carolina West District
Questar Capital Corporation
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2929
When Jim Richardson of the Richardson Salsman Group at Morgan
Stanley in Lexington, Ky. and his wife Stacie were inspired to start
the Lexington Dream Factory in 1988, they didnt go it alone. They
brought along a core group of 38 friends most of whom are still on
the board, as are some of their adult children.
Over the past 26 years, more than 700 dreams have been granted to
critically ill children. Unlike some dream fulllment organizations, the
Dream Factory has no endowment and no staff; instead, there is one major
fundraising event per year, and volunteers conduct fundraising activitieswithin a childs local community. Dreams average about $3,000 each.
There are two overwhelming aspects to this work, said Mr.
Richardson, a certied nancial planner and nancial advisor.
First is realizing that for some children, their dream was not huge
for example, just a little red wagon. One of the hardest parts is to
put our own perceptions in our pockets and listen to the patients
because you want to do more, Mr. Richardson said.
The second is to understand that no dream is too big, like a meeting with
the Pope, which weve managed to do. Instead of getting overwhelmed,
we just gured out how to do it its six degrees of separation.
Lifetime Achievement
Jim RichardsonLexington Dream FactoryThe Richardson Salsman Group | Morgan Stanley
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2014S P O N S O R S
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FIDELITY INVESTMENTS
IS PROUD TO BE A PLATINUM SPONSOR OF THE
INVEST IN OTHERS CHARITABLE FOUNDATION COMMUNITY
LEADERSHIP AWARDS.
WE APPLAUD THE EXTRAORDINARY EFFORTS OF OUR COLLEAGUES IN THE
FINANCIAL ADVISOR COMMUNITY WHO COMMIT THEIR TIME, KNOWLEDGE, AND
EXPERTISE IN ORDER TO EMPOWER OTHERS TO LEAD GREATER LIVES.
THANK YOU FOR CREATING POSITIVE CHANGE IN YOUR LOCAL COMMUNITIES.
CREATINGPOSITIVE
change for others
The Fidelity Investments and pyramid design logo is a registered service mark of FMR LLC.
Clearing, custody, or other brokerage services may be provided by National Financial Services LLC or FidelityBrokerage Services LLC, members NYSE, SIPC.
200 Seaport Boulevard, Z2F, Boston, MA 02210
2014 FMR LLC. All rights reserved.
695779.1.0
i i
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Because of your
the world is a better place
Congratulations to the 2014 Community Leadership Awards finalists.
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2014 Nuveen Investments, Inc.
Its hard to imaginea better investment.
Making your communitya better place.
Mentoring. Volunteering. Fundraising. Leading.
Nuveen Investments is proud to support the Invest in Others Charitable Foundation
and extends congratulations to all of the 2014 Community Leadership Award winners.
The example you set in serving others truly enriches us all.
For more information on our firm,call 800.752.8700 or visit nuveen.com.
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Serving communities,
making a differenceWe salute the recipients of the Community Leadership awardsand thank you for your commitment to helping communities thrive.
Wells Fargo is proud to support nonprofit organizations that providecommunity-building programs and services. When our communitiessucceed, we all succeed.
To learn more about our commitment to local nonprofits, visitwellsfargo.com/about/charitable.
Wells Fargo Bank, N.A. All rights reserved.Member FDIC. WCS-
wellsfargo.com
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The Dwyer Foundation
Congratulates the nalists and winners
of this years
Community Leadership Awards.
Thank you for all you do for others.
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Goldman Sachs
is a proud supporter of the
Invest in Others Charitable Foundation.
Helping communities at every level.At Goldman Sachs, we take seriously our responsibility to our
communities. Through our diverse philanthropic initiatives, we seek to
help our people fulfill the firms commitment to assist our communities
through financial support,volunteer endeavors and partnerships with
non-profit organizations.
2014 Goldman Sachs. All rights reserved.
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Nationwide Financial
is pleased to support theCommunity Leadership
Awards and Invest inOthers Foundation.
Nationwide Investment Services Corporation, member FINRA. In MI only: Nationwide Svcs. Corporation. Nationwide, Nationwide Financial and the Nationwide framemark are service ma rksof Nationwide Mutual Insurance Company. Lets Face It Together is a service mark of Nationwide Life Insurance Company. 2014 Nationwide Finan cial Services, Inc. All rights reserved.
NFV-0861AO (7/14)
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Proud to SupportInvest In OthersCharitable Foundation
oppenheimerfunds.com
2014 OppenheimerFunds Distributor, Inc.
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SunTrust Robinson Humphreycongratulates all the award finalistsand honorees of the
2014
CommunityLeadershipAwards.
Thank you all for all you do to help your communities.
2014 SunTrust Robinson Humphrey is a federally registered service mark of SunTrust Banks, Inc. SunTrust Robinson Humphrey is the trade name for the corporate and investment banking services of SunTrust Banks, Inc. and its subsidiaries, including SunTrust RobinHumphrey, Inc., member FINRA and SIPC. Financial risk management, deposit and treasury and payment solutions offered by SunTrust Bank, Member FDIC.
Debt & Equity Capital Raising Mergers & Acquisitions Financial Risk Management Treasury & Payment Solution
suntrustrh.com
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As weve seen tonight, every day financialadvisors are giving back wholeheartedly toimprove the lives of others in communitiesaround the country and around the world.
Do you know an advisor making compellingphilanthropic contributions to their community
and want to share their story with us?
Visitwww.investinothers.org
Megan McAuley
Executive Directormegan.mcauley@investinothers.org
Jessica DunhamDirector of Communications
jessica.dunham@investinothers.org
781 304 4812
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The Invest in Others Charitable Foundation wishes to thank
everyone for the generous support of this event and the
nalists and winners it recognizes, making it possible for
incredible 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 eighth year of celebrating the
remarkable spirit of the nancial services industry.
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to the 2014 Community Leadership Awards finalists.
Your exemplary leadership and courage inspires us all to build better communities.
InvestmentNews is proud to be a partner of the eighth annual Invest in Others Community Leadership Awa
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