Why Simplicity Is a Secret Weapon in Compliance and Client Care with Carrie King

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