DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Clark & Stuart Inc
Latest filing Mar 16, 2026
First filing on the tape Feb 1, 2012 · 22 filings
SEC status approved since May 14, 2018
RAUM
$196M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$190M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$65.2M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$196M as of Mar 16, 2026
Feb 1, 2012$55.9M then
HNW client RAUM$190M as of Mar 16, 2026
Mar 14, 2019$106M then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Feb 1, 20120 then
Employees (5.A)4 as of Mar 16, 2026
Mar 14, 20192 then
Private funds: no history
RAUM +17% over the last fiscal year+4.8% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $65.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$190M97%
- Charitable organizations$5.9M3.0%
- Individual clients
- 0reported
- HNW clients
- 178reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 180reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Henry StuartChartered Financial Analyst | South Hamilton, Ma | Jun 15, 1994 | 32 y | 0 |
| Charles Stone ClarkCertified Financial Planner | Portland, Me | Aug 18, 2004 | 43 y | 0 |
| Katherine L Dick | South Hamilton, Ma | May 19, 2025 | 9 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Stone Charles Clark · Principle,Chief Compliance Officercontrolsince 02/1994 · owns 50% to 75%
- Henry Michael Stuart · Principlecontrolsince 02/1994 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| South Hamilton, Ma | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- South Hamilton, MA1 employees
What changed
consecutive filings, newest first
- Accounts · 170 to 180Mar 27, 2025 to Mar 16, 2026
- Advisory employees · 3 to 4Mar 27, 2025 to Mar 16, 2026
- HNW clients · 168 to 178Mar 27, 2025 to Mar 16, 2026
- Employees · 3 to 4Mar 27, 2025 to Mar 16, 2026
- State-registered IARs · 2 to 3Mar 27, 2025 to Mar 16, 2026
- Discretionary RAUM · $168M to $196MMar 27, 2025 to Mar 16, 2026
- HNW RAUM · $163M to $190MMar 27, 2025 to Mar 16, 2026
- RAUM · $168M to $196MMar 27, 2025 to Mar 16, 2026
- Accounts · 172 to 170Apr 4, 2024 to Mar 27, 2025
- Advisory employees · 2 to 3Apr 4, 2024 to Mar 27, 2025
- HNW clients · 170 to 168Apr 4, 2024 to Mar 27, 2025
- Employees · 2 to 3Apr 4, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Apr 4, 2024 to Mar 27, 2025
- Discretionary RAUM · $170M to $168MApr 4, 2024 to Mar 27, 2025
- HNW RAUM · $165M to $163MApr 4, 2024 to Mar 27, 2025
- RAUM · $170M to $168MApr 4, 2024 to Mar 27, 2025
- Accounts · 178 to 172Mar 27, 2023 to Mar 19, 2024
- HNW clients · 176 to 170Mar 27, 2023 to Mar 19, 2024
- Discretionary RAUM · $170M to $170MMar 27, 2023 to Mar 19, 2024
- HNW RAUM · $165M to $165MMar 27, 2023 to Mar 19, 2024
- RAUM · $170M to $170MMar 27, 2023 to Mar 19, 2024
- Accounts · 176 to 178Mar 28, 2022 to Mar 27, 2023
- Charity clients · 0 to 2Mar 28, 2022 to Mar 27, 2023
- HNW clients · 174 to 176Mar 28, 2022 to Mar 27, 2023
- Discretionary RAUM · $159M to $170MMar 28, 2022 to Mar 27, 2023
- HNW RAUM · $154M to $165MMar 28, 2022 to Mar 27, 2023
- RAUM · $159M to $170MMar 28, 2022 to Mar 27, 2023
- Accounts · 186 to 176Aug 2, 2021 to Mar 28, 2022
- Charity clients · 3 to 0Aug 2, 2021 to Mar 28, 2022
- HNW clients · 183 to 174Aug 2, 2021 to Mar 28, 2022
- Discretionary RAUM · $139M to $159MAug 2, 2021 to Mar 28, 2022
- HNW RAUM · $134M to $154MAug 2, 2021 to Mar 28, 2022
- RAUM · $139M to $159MAug 2, 2021 to Mar 28, 2022
- Accounts · 160 to 186Jun 25, 2020 to Mar 24, 2021
- Charity clients · 2 to 3Jun 25, 2020 to Mar 24, 2021
- HNW clients · 158 to 183Jun 25, 2020 to Mar 24, 2021
- Discretionary RAUM · $126M to $139MJun 25, 2020 to Mar 24, 2021
- HNW RAUM · $123M to $134MJun 25, 2020 to Mar 24, 2021
- RAUM · $126M to $139MJun 25, 2020 to Mar 24, 2021
- Accounts · 162 to 160Mar 14, 2019 to Mar 25, 2020
Signals
1 dated events
- Clark & Stuart Inc filed its initial SEC registration (Form ADV)Apr 18, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 207-775-1140reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 860-377-5123reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 860-478-9012reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- CLARKANDSTUART.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 207-775-1140reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- clarkandstuart.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $65.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026