--- title: "Why Simplicity Is a Secret Weapon in Compliance and Client Care with Carrie King" description: "This week, Kyle Van Pelt talks with Carrie King, Partner and Chief Compliance Officer at UlImann Wealth Partners." url: https://www.milemarker.co/podcast/why-simplicity-is-a-secret-weapon-in-compliance-and-client-care-with-carrie-king updated: 2025-06-17 --- [Now playing](https://www.milemarker.co/podcast) [Podcast**Next Mile**](https://www.milemarker.co/podcast) [Episodes](https://www.milemarker.co/podcast)[Guests](https://www.milemarker.co/podcast/guests) [YouTube](https://www.youtube.com/@milemarkerinc) [Apple](https://podcasts.apple.com/us/podcast/the-connected-advisor/id1691759257) [Spotify](https://open.spotify.com/show/0Lw8kHGnS1JJBMZLPYxc9S) Episode 98 · Jun 17, 2025 · 37 min # Why Simplicity Is a Secret Weapon in Compliance and Client Care with Carrie King [**Carrie King***Partner & CCO, Ullmann Wealth Partners*](https://www.milemarker.co/podcast/guests/carrie-king) [Apple Podcasts ↗](https://podcasts.apple.com/us/podcast/the-connected-advisor/id1691759257) [Spotify ↗](https://open.spotify.com/show/0Lw8kHGnS1JJBMZLPYxc9S) ## About this episode This week, Kyle Van Pelt talks with Carrie King, Partner and Chief Compliance Officer at UlImann 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. Kyle and Carrie discuss how Ullman supports clients through these transitions by staying grounded in simplicity, optimism, and practical discipline. Carrie also discusses the firm’s core values, how they integrate books into company culture, and the evolving role of compliance in an AI-driven world. In this episode: - (00:00) - Intro - (02:59) - Carrie's money moment - (05:37) - The importance of core values in company culture - (09:08) - Reframing compliance through optimism and simplicity - (11:02) - Ullmann Wealth Partners' Divorce Advisory Group - (12:54) - Building relationships with Centers of Influence (COI) - (17:42) - Making complex projects simple - (19:30) - What makes a great CRM - (23:13) - Ullmann’s tech stack - (25:53) - Why texting is such a taboo for regulators - (28:04) - Carrie's outlook on the future of the industry - (30:46) - Carrie's Milemarker Minute **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. - Compliance isn’t just about rules—it’s about protecting clients and building trust. A proactive, optimistic approach to compliance can strengthen your firm’s culture and help you deliver better service across the board. - 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** - [Carrie King on LinkedIn](https://www.linkedin.com/in/carrie-king-b6b14a4/) - [Ullmann Wealth Partners](https://www.ullmannwealthpartners.com/) - [Brian James](https://www.linkedin.com/in/brian-james-cpwa%C2%AE-32ba98104/) - [Glenn Ullmann](https://www.linkedin.com/in/glenn-ullmann-86303729/) - [Landing a Smooth Retirement](https://www.amazon.com/Landing-Smooth-Retirement-Glenn-Ullmann/dp/1664128077) - [Move Forward Confidently](https://www.amazon.com/Move-Forward-Confidently-Navigating-High-Net-Worth/dp/154450490X) - [Patrick Kilbane](https://www.linkedin.com/in/patrick-kilbane-a4755562/) - [Caitlin Frederick](https://www.linkedin.com/in/olearycg/) - [Getting Things Done](https://www.amazon.com/Getting-Things-Done-Stress-Free-Productivity/dp/0142000280) - [Factfulness](https://www.amazon.com/Factfulness-Reasons-World-Things-Better/dp/1250107814) - [Jump AI](https://jumpapp.com/) - [MyRepChat](https://myrepchat.com/) - [Merrill Lynch](https://www.ml.com/) - [Raymond James](https://www.raymondjames.com/) - [Wells Fargo](https://www.wellsfargo.com/) - [Mercer Advisors](https://www.merceradvisors.com/) - [Creative Planning](https://creativeplanning.com/) - [Hightower Advisors](https://hightoweradvisors.com/) - [Unreasonable Hospitality](https://www.amazon.com/Unreasonable-Hospitality-Remarkable-Giving-People/dp/0593418573) - [An Unfinished Love Story](https://www.amazon.com/Unfinished-Love-Story-Personal-History/dp/1982108665) **Connect with our hosts** - [Milemarker.co](https://www.milemarker.co/) - [Kyle on LinkedIn](https://www.linkedin.com/in/kylevanpelt/) - [Jud on LinkedIn](https://www.linkedin.com/in/judmackrill/) **Subscribe and stay in touch** - [Apple Podcasts](https://podcasts.apple.com/us/podcast/connected/id1691759257) - [Spotify](https://open.spotify.com/show/0Lw8kHGnS1JJBMZLPYxc9S) - [YouTube](https://www.youtube.com/@milemarkerinc) **Produce game-changing content with Turncast** Turncast helps your company grow by producing top-quality content and fostering transformative conversations. We specialize in content generation, podcasting, digital strategy, and audience growth for fintech and financial services companies. Learn more at [Turncast.com](https://www.turncast.com/). ## The write-up [Listen to this week’s episode.](https://open.spotify.com/episode/1zPWJErDxWIUTznleWG8YU) ## Episode 098 On this week’s episode of The Connected Advisor, I speak with [Carrie King](https://www.linkedin.com/in/carrieking), 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](https://www.linkedin.com/in/carrieking) - Ullmann Wealth Partners **Ullmann Resources:** - Landing a Smooth Retirement - Move Forward Confidently **Technology Mentioned:** - [Jump AI](https://www.jumpai.com/) - [MyRepChat](https://www.myrepchat.com/) **Companies Mentioned:** - [Merrill Lynch](https://www.ml.com/) - [Raymond James](https://www.raymondjames.com/) - [Wells Fargo](https://www.wellsfargo.com/) - [Mercer Advisors](https://www.merceradvisors.com/) - [Creative Planning](https://www.creativeplanning.com/) - [Hightower Advisors](https://www.hightoweradvisors.com/) **Books Mentioned:** - [Getting Things Done](https://gettingthingsdone.com/) by David Allen - [Factfulness](https://www.gapminder.org/factfulness-book/) by Hans Rosling - [Unreasonable Hospitality](https://www.unreasonablehospitality.com/) by Will Guidara - [An Unfinished Love Story](https://www.simonandschuster.com/books/An-Unfinished-Love-Story/Doris-Kearns-Goodwin/9781982108663) by Doris Kearns Goodwin ## Connect With Our Hosts - [Milemarker.co](https://www.milemarker.co/) - [Kyle on LinkedIn](https://www.linkedin.com/in/kylevp) - Jud on LinkedIn ## Subscribe and Stay in Touch - Apple Podcasts - [Spotify](https://open.spotify.com/show/nextmile) - [YouTube](https://www.youtube.com/@milemarkerinc) 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* [**Carrie King***Partner & CCO, Ullmann Wealth Partners*](https://www.milemarker.co/podcast/guests/carrie-king) Next Mile Conversations with the people building the next era of wealth management, hosted by Kyle Van Pelt. New episodes every Tuesday. [Get the newsletter →](https://www.milemarker.co/resources/newsletter) [Talk to Milemarker →](https://www.milemarker.co/contact) ## Keep listening Ep. 168 · Oct 27, 2026 · 32 min ### [The Difference Between a Family Office and an RIA with More Services with Matt Celenza](https://www.milemarker.co/podcast/the-difference-between-a-family-office-and-an-ria-with-more-services-with-matt-celenza) Matt Celenza, Americana Partners Ep. 158 · Aug 18, 2026 · 38 min ### [Navigating the Next Era of Advisor Technology with Michael Batnick](https://www.milemarker.co/podcast/navigating-the-next-era-of-advisor-technology-with-michael-batnick) Michael Batnick, Ritholtz Wealth Management Ep. 157 · Aug 11, 2026 · 27 min ### [The Power of Radical Hospitality in Financial Advice with Libby Buckley](https://www.milemarker.co/podcast/the-power-of-radical-hospitality-in-financial-advice-with-libby-buckley) Libby Buckley, Parable Wealth Partners