DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CLARK & STUART INC

CRD 107991

PORTLAND, ME

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:73172d1a-6a4f-b7fa-91f7-3c8221e1d127

Data as of Mar 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 1, 2012 to Mar 16, 2026
22 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $196MItem 5.F on the latest filing (2026-03-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $196M
Private client RAUM: $190MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $65.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 180
Individual clients: 0
High net worth clients: 178
SEC number: 801-113250
CRD: 107991
Filings on the tape: 22
First filed: Feb 1, 2012
Latest filed: Mar 16, 2026
Organised: Corporation, ME
Website: clarkandstuart.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MICHAEL HENRY STUART	Chartered Financial Analyst	South Hamilton, MA	32	32	n/a	no
CHARLES STONE CLARK	Certified Financial Planner	PORTLAND, ME	22	43	n/a	no
Katherine L Dick	n/a	South Hamilton, MA	1	9	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CLARK, CHARLES, STONE	PRINCIPLE,CHIEF COMPLIANCE OFFICER	D	yes	02/1994	Feb 1, 2012	Apr 4, 2024
STUART, MICHAEL, HENRY	Principle	D	yes	02/1994	Feb 1, 2012	Apr 4, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SOUTH HAMILTON	Ma	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 16, 2026	$196M	$196M	4	4	1	n/a	n/a
2024	Mar 27, 2025	$168M	$168M	3	3	1	n/a	n/a
2023	Mar 19, 2024	$170M	$170M	2	2	1	n/a	n/a
2022	Mar 27, 2023	$170M	$170M	2	2	1	n/a	n/a
2021	Mar 28, 2022	$159M	$159M	2	2	1	n/a	n/a
2020	Mar 24, 2021	$139M	$139M	2	2	1	n/a	n/a
2019	Mar 25, 2020	$126M	$126M	2	2	1	n/a	n/a
2018	Mar 14, 2019	$109M	$109M	2	2	1	n/a	n/a
2011	Feb 1, 2012	$55.9M	$55.9M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$196M	$168M	16.5%	$170M	4.8%	4	3	1	1

Relationships

Registered with (3)

← Katherine L DickAdvisorregistration: current employment
May 19, 2025 to presentfactForm ADV
← CHARLES STONE CLARKAdvisorregistration: current employment
Aug 18, 2004 to presentfactForm ADV
← MICHAEL HENRY STUARTAdvisorregistration: current employment
Jun 15, 1994 to presentfactForm ADV

Controls (2)

← STUART, MICHAEL, HENRYOwnerPRINCIPLE, ownership code D, individual
Feb 1, 2012 to Apr 4, 2024factForm ADV
← CLARK, CHARLES, STONEOwnerPRINCIPLE,CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 1, 2012 to Apr 4, 2024factForm ADV

Dated events

Occurred
Apr 18, 2018
First Form ADV filing
Clark & Stuart Inc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73172d1a-6a4f-b7fa-91f7-3c8221e1d127
First observed: Feb 1, 2012
Last observed: Mar 16, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CLARK & STUART INC

CRD 107991

PORTLAND, ME

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:73172d1a-6a4f-b7fa-91f7-3c8221e1d127

Data as of Mar 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:40 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MICHAEL HENRY STUART

Chartered Financial Analyst

South Hamilton, MA

n/a

CHARLES STONE CLARK

Certified Financial Planner

PORTLAND, ME

n/a

Katherine L Dick

n/a

South Hamilton, MA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CLARK, CHARLES, STONE

PRINCIPLE,CHIEF COMPLIANCE OFFICER

yes

02/1994

Feb 1, 2012

Apr 4, 2024

STUART, MICHAEL, HENRY

Principle

yes

02/1994

Feb 1, 2012

Apr 4, 2024

City

State

Country

Employees

Also broker-dealer

SOUTH HAMILTON

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 16, 2026

$196M

n/a

2024

Mar 27, 2025

$168M

n/a

2023

Mar 19, 2024

$170M

n/a

2022

Mar 27, 2023

$170M

n/a

2021

Mar 28, 2022

$159M

n/a

2020

Mar 24, 2021

$139M

n/a

2019

Mar 25, 2020

$126M

n/a

2018

Mar 14, 2019

$109M

n/a

2011

Feb 1, 2012

$55.9M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$196M

$168M

16.5%

$170M

4.8%