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Episode 098

On this week's episode of The Connected Advisor, I speak with Carrie King, Partner and Chief Compliance Officer at Ullmann Wealth Partners. A former restaurateur turned finance professional, Carrie brings a service-driven mindset to wealth management—prioritizing simplicity, optimism, and disciplined planning. With over two decades of experience spanning hedge funds, trading desks, and advisory firms, she now helps lead a holistic, client-centered practice that supports families through life's most complex transitions.

We discuss how Ullmann supports clients through these transitions by staying grounded in simplicity, optimism, and practical discipline. Carrie also shares the firm's core values, how they integrate books into company culture, and the evolving role of compliance in an AI-driven world.

Key Takeaways

Building your firm around core principles like discipline, simplicity, optimism, and professional advice isn't just good branding—it creates a shared language that guides decision-making, shapes culture, and helps clients stay focused during uncertainty.

Before adopting new tools like CRMs or AI platforms, prioritize peer insights over sales pitches. Talk to other firms, ask about pitfalls, and be methodical in your rollout—technology should support your process, not disrupt it.

When building relationships with centers of influence (COIs), don't just tell them what you do—show them. Invite them into your client meetings, let them experience your planning firsthand, and trust that authenticity will speak louder than any pitch.

Quotes

"This business is working with people day in and day out. And when you see that in practice, there's nothing more fulfilling than that."
— Carrie King

"You don't need to do crazy investment strategies, trading options, or all these other things. The most important thing for people is coming up with a financial plan and helping them stick to it, especially in times of turbulence when there are unexpected consequences."
— Carrie King

"The ultimate end goal of compliance is to protect the client—protect them from scams, and protect them from fraud."
— Carrie King

Links & Resources

Featured:

• Carrie King on LinkedIn

• Ullmann Wealth Partners

Ullmann Resources:

• Landing a Smooth Retirement

• Move Forward Confidently

Technology Mentioned:

• Jump AI

• MyRepChat

Companies Mentioned:

• Merrill Lynch

• Raymond James

• Wells Fargo

• Mercer Advisors

• Creative Planning

• Hightower Advisors

Books Mentioned:

• Getting Things Done by David Allen

• Factfulness by Hans Rosling

• Unreasonable Hospitality by Will Guidara

• An Unfinished Love Story by Doris Kearns Goodwin

Connect With Our Hosts

• Milemarker.co

• Kyle on LinkedIn

• Jud on LinkedIn

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If you'd like to schedule a time to talk with me about anything we cover on our podcast or Milemarker, click here for 15 minutes.

— Kyle Van Pelt