2014 IIO CLA Dinner Journal.pdf

8/10/2019 2014 IIO CLA Dinner Journal.pdf

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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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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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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.


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.


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.


Billy C. PetersonLivastride Foundation

Peterson Wealth Services, Inc. | Raymond James


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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.


Lynn Phillips-GainesStarkville Bridges Out of PovertyPhillips Financial | Raymond James

A W A R D S

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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.


John LaurentsThe Charlotte Optimist Club/Optimist International North Carolina West District

Questar Capital Corporation


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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.


Jim RichardsonLexington Dream FactoryThe Richardson Salsman Group | Morgan Stanley

6


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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 [email protected]

Jessica DunhamDirector of Communications

[email protected]

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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50

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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