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Honoring Advisors Who Serve(d): July 4, 2011, Slideshow

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On the July 4th weekend Americans will be relaxing, but we shouldn’t forget, slightly paraphrasing Abraham Lincoln, that the world may little note what we say here, but it should never forget what they did for us.

Thus the second in our series honoring advisors and those who partner with advisors, who served in the armed forces of the United States.

To begin, this CFP has appeared on the Wealth Manager/AdvisorOne 50 Top Women in Wealth list before (spoiler alert: she’s on the list again this year), and is a regular blogger for AdvisorOne focusing on financial gerontology. In her Long Island-based planning practice she partners (in life and in business) with another rather high-profile and well-respected advisor.

But providing fee-only advice was not this advisor’s first career choice. Back in the day, she enlisted in the U.S. Army, rising to the rank of 1st Lieutenant in the 411th Engineer Brigade (she’s still proud of earning her Expert Marksmanship Medal on the M-16A1).

See slide #7 for the identities of this and other “mystery” veterans. Click the “Next” button below to see the next advisor veteran.

Honoring Advisors Who Served, page 2

This gentleman’s name is well-known to every advisor. He founded his eponymous company in the 1970s, creating indexes and providing research and ratings first on mutual funds and then on other investment vehicles. This CFA sold the company in the late 1990s and now runs his own advisory firm, in addition to publishing cogent blogs on the markets and investing. His name is still attached to his original company’s annual awards for excellence in mutual funds.

Prior to joining the financial services world, this gentleman joined the U.S. Marine Corps, rising to the rank of captain, and he is also a founder of the National Museum of the Marine Corps in Triangle, Va., on the grounds of the Quantico Marine base.

See slide #7 for the identities of this and other “mystery” veterans. Click the “Next” button below to see the next advisor veteran.

Honoring Advisors Who Served, page 3

Folks from Commonwealth Financial Network know the woman pictured here quite well, as do other advisors who have benefited from her practice management knowledge delivered in speeches at national conferences, or who have read some of her prescriptions in the pages of Investment Advisor, for instance. 

They may know of her practical, disciplined bent when it comes to practice management, but what they may not know is that this partner to advisors previously served with the U.S. Air Force, rising to the rank of first lieutenant. 

See slide #7 for the identities of this and other “mystery” veterans. Click the “Next” button below to see the next advisor veteran.

Honoring Advisors Who Served, page 4

We loved this photo so much we decided to reprint it. It depicts perhaps the highest-profile independent advisor in this country, pre-bowtie and D.K., but with the serious look befitting a United States Army captain.

Click here to view the first installment in our slideshow honoring advisors who served in the armed forces on Memorial Day earlier this year, in which this advisor appeared as well.

See slide #7 for the identities of this and other “mystery” veterans. Click the “Next” button below to see the next slide.

Honoring Advisors Who Served, page 5

George Washington said that “to be prepared for war is one of the most effective means of preserving peace.” This person may not be an advisor, but we’re running the photo of Capt. Dennis Stiles of the New Jersey Army National Guard (and this editor’s (good) neigbor) as a reminder of those who are prepared for, and waging, war to help preserve our peace. 

There are a number of individual advisors and advisor partners who serve the active and retired military with financial advice, and some who even specialize in recruiting ex-military men and women as advisors. One of those firms is Edward Jones, which boasts of having more than 1,500 veterans among its advisor force. The USAA was founded by a group of military officers and still serves mainly members of the military with a range of financial services, including planning services provided by CFPs and a wealth management division.

BlackRock recently announced its participation in a nationwide program to help returning Iraq and Afghanistan veterans transition to civilian life through American Corporate Partners. And the Financial Planning Association has long provided pro bono advice to a number of underserved populations, including veterans.

Turn the page for a suggestion on how to honor those currently serving in the armed forces.

Honoring Advisors Who Served, page 6

One of our mystery advisors recommended the below YouTube video that suggests one way that we all can honor our current military men and women in an unpretentious but respectful way.

Turn the page to see the identities of our mystery veterans.

Honoring Advisors Who Served, page 7










Then and Now: Answers to Our Advisor Veteran Photo Challenge

Photo Page 1 (and above): Rosanne Roge of R.W. Roge & Co. works with R.W. (that is, Ron) Roge in addition to being married to him (now for three years). She served for a number of years in the 411th Engineer Brigade. 

Photo Page 2: A. Michael “Mike” Lipper of Lipper Funds and indexes fame is the former Leatherneck (though I believe no Marine is ever “former,” regardless if they are no longer on active duty). Despite selling his original firm to what is now Thomson Reuters, Mr. Lipper remains very active running his wealth management firm, Lipper Advisory Services, Inc., which provides money management services for HNW families, retirement plans and charitable organizations.

Photo Page 3: The airman featured is Joni Youngwirth, Commonwealth Financial Network’s managing principal, practice management, and a former U.S. Air Force lieutenant, and a regular contributor to Investment Advisor.

Photo Page 4: Yes, that’s Harold Evensky before his wealth management days, and before his Deena Katz days, for that matter


View our Memorial Day slideshow honoring other advisors who serve(d) and picturing more “mystery” advisors then and now.