Episode 098: 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

Ullmann Wealth Partners

Brian James

Glenn Ullmann

Landing a Smooth Retirement

Move Forward Confidently

Patrick Kilbane

Caitlin Frederick

Getting Things Done

Factfulness

Jump AI

MyRepChat

Merrill Lynch

Raymond James

Wells Fargo

Mercer Advisors

Creative Planning

Hightower Advisors

Unreasonable Hospitality

An Unfinished Love Story

Connect with our hosts

Milemarker.co

Kyle on LinkedIn

Jud on LinkedIn

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