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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

R M DAVIS INC

CRD 105448

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:47a5f8c6-5ce2-3f7a-7ad4-342b6bfd31ac

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 8
On other graphs: 0
Observed: Nov 21, 2011 to Mar 30, 2026
30 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=0.93 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $8.2BItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $8.1B
Private client RAUM: $7.6BderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 22
RAUM per advisor: $371Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 63
Advisory employees: 25
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 6,124
Individual clients: 1,042
High net worth clients: 1,300
Custody, client assets: $3.8B
SEC number: 801-13878
CIK: 891287
CRD: 105448
Filings on the tape: 30
First filed: Nov 21, 2011
Latest filed: Mar 30, 2026
Organised: Corporation, ME
Website: rmdavis.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
BRIAN HOWARD NOYES	Chartered Financial Analyst\|Chartered Investment Counselor	PORTLAND, ME	23	42	n/a	no
DANA ROBERT MITIGUY	Chartered Financial Analyst	PORTLAND, ME	23	26	n/a	no
GEOFFREY KNIGHT ALEXANDER	n/a	PORTLAND, ME	23	29	n/a	no
JOHN DAVID DOUGHTY	n/a	PORTLAND, ME	23	30	n/a	no
WENDY ALLARD LAIDLAW	n/a	PORTLAND, ME	22	30	n/a	no
VINCENT FRANCIS DAMASCO	Chartered Financial Analyst	PORTLAND, ME	14	26	1	no
MATTHEW ALAN MCFARLAND	n/a	PORTLAND, ME	13	28	4	no
MICHAEL PHILIP WOOD	Chartered Financial Analyst	PORTLAND, ME	13	30	2	no
ROBERT MCINTIRE DAVIS	Certified Financial Planner	PORTLAND, ME	12	13	n/a	no
GEORGE CREELMAN CARR	n/a	PORTLAND, ME	10	11	2	no
DEAN EVERETT WALKER	n/a	PORTLAND, ME	10	25	n/a	no
MICHAEL J NEFF	Chartered Financial Analyst	PORTLAND, ME	5	15	1	no
KEVIN JAMES MANNING	n/a	PORTLAND, ME	4	11	n/a	no
TIMOTHY EDWARD MALISA	n/a	PORTLAND, ME	3	15	n/a	no
Timothy J Acquaviva	Chartered Financial Analyst	PORTLAND, ME \| Portsmouth, NH	3	15	n/a	no
Andrew Bouchard Livingston	Certified Financial Planner\|Chartered Financial Analyst	PORTLAND, ME	3	10	n/a	no
JOHN FRANCIS LEONARD	Certified Financial Planner	PORTLAND, ME	2	16	1	no
Edward G Smith	Certified Financial Planner	PORTLAND, ME	2	11	3	no
Marianne Dao Loew	Chartered Financial Analyst	Portsmouth, NH \| PORTLAND, ME	2	17	1	no
Cade Blackburn	n/a	PORTLAND, ME \| Portland, ME	1	24	n/a	no
Kurtis John Petersons	n/a	PORTLAND, ME \| Portland, ME	1	10	n/a	no
GREGORY EZRA COX	Certified Financial Planner	PORTLAND, ME	1	16	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
ALEXANDER, GEOFFREY, KNIGHT	CEO, OWNER, DIRECTOR	C	yes	01/2004	Mar 30, 2026	Mar 30, 2026
BLANEY, DREW, ARTHUR	CFO, OWNER, DIRECTOR	Na	yes	01/2026	Mar 30, 2026	Mar 30, 2026
CARR, GEORGE, CREELMAN	OWNER, DIRECTOR	Na	yes	01/2026	Mar 30, 2026	Mar 30, 2026
DAVIS, ROBERT, MCINTIRE	OWNER, DIRECTOR	Na	yes	01/2025	Mar 30, 2026	Mar 30, 2026
DOUGHTY, JOHN, DAVID	CIO, OWNER, DIRECTOR	Na	yes	12/2019	Mar 30, 2026	Mar 30, 2026
DRAEGER, SCOT, ERIC	PRESIDENT, OWNER, DIRECTOR	A	yes	01/2017	Mar 30, 2026	Mar 30, 2026
DUBOIS, CALEB, CHASE BOOTHBY	CCO, VICE PRESIDENT, GENERAL COUNSEL	Na	yes	09/2022	Mar 30, 2026	Mar 30, 2026
LAIDLAW, WENDY, ALLARD	OWNER, DIRECTOR	A	yes	01/2002	Mar 30, 2026	Mar 30, 2026
MCFARLAND, MATTHEW, ALAN	OWNER, DIRECTOR	Na	yes	12/2019	Mar 30, 2026	Mar 30, 2026
NOYES, BRIAN, HOWARD	CHAIRMAN OF BOARD OF DIRECTORS, OWNER, DIRECTOR	C	yes	01/1993	Mar 30, 2026	Mar 30, 2026
WALKER, DEAN, EVERETT	COO, OWNER, DIRECTOR, VP-TRADING	Na	yes	12/2017	Mar 30, 2026	Mar 30, 2026
WHITMORE, MICHELE, MARIE	OWNER, DIRECTOR	Na	yes	01/2026	Mar 30, 2026	Mar 30, 2026
WOOD, MICHAEL, PHILIP	OWNER, DIRECTOR	Na	yes	12/2020	Mar 30, 2026	Mar 30, 2026
FERNANDEZ, MARK, ANDREW	OWNER, DIRECTOR	B	yes	01/2004	Nov 21, 2011	Oct 8, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
Portsmouth	Nh	United States	3	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 30, 2026	$8.2B	$8.1B	63	25	2	n/a	n/a
2024	Mar 28, 2025	$7.3B	$7.3B	61	24	2	n/a	n/a
2023	Mar 27, 2024	$6.3B	$6.3B	57	24	1	n/a	n/a
2022	Mar 28, 2023	$5.8B	$5.7B	55	21	1	n/a	n/a
2021	Jan 27, 2022	$6.8B	$6.7B	50	21	1	n/a	n/a
2020	Mar 23, 2021	$5.4B	$5.4B	47	21	1	n/a	n/a
2019	Mar 25, 2020	$4.9B	$4.8B	47	20	1	n/a	n/a
2018	Mar 26, 2019	$3.9B	$3.9B	48	21	1	n/a	n/a
2017	May 1, 2018	$4.0B	$4.0B	46	21	1	n/a	n/a
2016	Mar 16, 2017	$3.4B	$3.4B	42	20	n/a	n/a	n/a
2015	Mar 24, 2016	$3.2B	$3.1B	41	20	n/a	n/a	n/a
2014	Mar 25, 2015	$3.1B	$3.1B	39	20	n/a	n/a	n/a
2013	Mar 24, 2014	$2.8B	$2.8B	40	22	n/a	n/a	n/a
2012	Mar 28, 2013	$2.3B	$2.3B	41	22	n/a	n/a	n/a
2011	Mar 22, 2012	$2.1B	$2.1B	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	3	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	$8.2B	$7.3B	12.2%	$5.8B	12.3%	63	61	2	2

Relationships

Registered with (25)

← GREGORY EZRA COXAdvisorregistration: current employment
May 23, 2025 to presentfactForm ADV
← Kurtis John PetersonsAdvisorregistration: current employment
Mar 25, 2025 to presentfactForm ADV
← Cade BlackburnAdvisorregistration: current employment
Sep 25, 2024 to presentfactForm ADV
← Marianne Dao LoewAdvisorregistration: current employment
Jul 16, 2024 to presentfactForm ADV
← Edward G SmithAdvisorregistration: current employment
Feb 1, 2024 to presentfactForm ADV
← JOHN FRANCIS LEONARDAdvisorregistration: current employment
Jan 16, 2024 to presentfactForm ADV
← Andrew Bouchard LivingstonAdvisorregistration: current employment
Sep 8, 2023 to presentfactForm ADV
← Timothy J AcquavivaAdvisorregistration: current employment
Oct 18, 2022 to presentfactForm ADV
← TIMOTHY EDWARD MALISAAdvisorregistration: current employment
Oct 7, 2022 to presentfactForm ADV
← KEVIN JAMES MANNINGAdvisorregistration: current employment
Mar 30, 2022 to presentfactForm ADV
← MICHAEL J NEFFAdvisorregistration: current employment
Feb 7, 2021 to presentfactForm ADV
← ROBERT MCINTIRE DAVISAdvisorregistration: current employment
Dec 14, 2018 to presentfactForm ADV
← DEAN EVERETT WALKERAdvisorregistration: current employment
Aug 1, 2016 to presentfactForm ADV
← GEORGE CREELMAN CARRAdvisorregistration: current employment
Nov 3, 2015 to presentfactForm ADV
← MICHAEL PHILIP WOODAdvisorregistration: current employment
Apr 9, 2013 to presentfactForm ADV
← MATTHEW ALAN MCFARLANDAdvisorregistration: current employment
Jan 15, 2013 to presentfactForm ADV
← VINCENT FRANCIS DAMASCOAdvisorregistration: current employment
Feb 2, 2012 to presentfactForm ADV
← WENDY ALLARD LAIDLAWAdvisorregistration: current employment
Sep 15, 2004 to presentfactForm ADV
← JOHN DAVID DOUGHTYAdvisorregistration: current employment
Jan 2, 2003 to presentfactForm ADV
← BRIAN HOWARD NOYESAdvisorregistration: current employment
Sep 26, 2002 to presentfactForm ADV
← DANA ROBERT MITIGUYAdvisorregistration: current employment
Sep 26, 2002 to presentfactForm ADV
← GEOFFREY KNIGHT ALEXANDERAdvisorregistration: current employment
Sep 26, 2002 to presentfactForm ADV
← REID VAILE SMITHAdvisorregistration: previous registration
May 10, 2016 to Aug 31, 2023factForm ADV
← Jill HibyanAdvisorregistration: previous registration
Jan 17, 2019 to Aug 25, 2022factForm ADV
← MICHAEL JAMES HANLONAdvisorregistration: previous registration
May 12, 2008 to Dec 13, 2016factForm ADV

Controls (10)

← FERNANDEZ, MARK, ANDREWOwnerOWNER, DIRECTOR, ownership code B, individual
Nov 21, 2011 to Oct 8, 2024factForm ADV
← NOYES, BRIAN, HOWARDOwnerCHAIRMAN OF BOARD OF DIRECTORS, OWNER, DIRECTOR, ownership code C, individual
Nov 21, 2011 to Oct 8, 2024factForm ADV
← DOUGHTY, JOHN, DAVIDOwnerCIO, OWNER, DIRECTOR, ownership code NA, individual
Mar 25, 2020 to Oct 8, 2024factForm ADV
← WOOD, MICHAEL, PHILIPOwnerOWNER, DIRECTOR, ownership code NA, individual
Mar 23, 2021 to Oct 8, 2024factForm ADV
← ALEXANDER, GEOFFREY, KNIGHTOwnerCEO, DIRECTOR, OWNER, ownership code C, individual
Nov 21, 2011 to Oct 8, 2024factForm ADV
← MCFARLAND, MATTHEW, ALANOwnerOWNER, DIRECTOR, ownership code NA, individual
Mar 25, 2020 to Oct 8, 2024factForm ADV
← WALKER, DEAN, EOwnerOWNER, DIRECTOR, COO, VP-TRADING, ownership code NA, individual
Mar 23, 2018 to Oct 8, 2024factForm ADV
← LAIDLAW, WENDY, ALLARDOwnerCFO, DIRECTOR, OWNER, ownership code A, individual
Nov 21, 2011 to Oct 8, 2024factForm ADV
← DRAEGER, SCOT, ERICOwnerPRESIDENT, OWNER, GENERAL COUNSEL, DIRECTOR, ownership code NA, individual
Mar 16, 2017 to Oct 8, 2024factForm ADV
← DUBOIS, CALEB, CHASE BOOTHBYOwnerCCO, VICE PRESIDENT, DEPUTY GENERAL COUNSEL, ownership code NA, individual
Oct 5, 2022 to Oct 8, 2024factForm ADV

Dated events

Occurred
Aug 31, 2023
Advisor changed firm
Reid Vaile Smith left R M Davis Inc for David Wendell Associates, Inc. (registered 2023-09-08)
Form ADVobserved 5 days ago
Occurred
Oct 5, 2022
Control person joined
Chase Boothby Caleb Dubois (Vice President, Deputy General Counsel, Cco) appeared on Schedule A of R M Davis Inc
Form ADVobserved 5 days ago
Occurred
Aug 25, 2022
Advisor changed firm
Jill Hibyan left R M Davis Inc for F L Putnam Investment Management Co. (registered 2022-11-08)
Form ADVobserved 5 days ago
Occurred
Jan 27, 2022
Regulatory AUM changed
R M Davis Inc reported RAUM $6.8B, up 26% from $5.4B (2021-03-23 to 2022-01-27)
Form ADVobserved 5 days ago
$1.4B
Occurred
Mar 23, 2021
Control person joined
Philip Michael Wood (Owner, Director) appeared on Schedule A of R M Davis Inc
Form ADVobserved 5 days ago
Occurred
Mar 25, 2020
Control person joined
David John Doughty (Cio, Owner, Director) appeared on Schedule A of R M Davis Inc
Form ADVobserved 5 days ago
Occurred
Mar 25, 2020
Control person joined
Alan Matthew Mcfarland (Owner, Director) appeared on Schedule A of R M Davis Inc
Form ADVobserved 5 days ago
Occurred
Mar 25, 2020
Control person left
Malcolm Robert Davis (Ceo, Director, Owner) no longer on Schedule A of R M Davis Inc (listed 2019-03-26, absent 2020-03-25)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:47a5f8c6-5ce2-3f7a-7ad4-342b6bfd31ac
First observed: Nov 21, 2011
Last observed: Mar 30, 2026 5 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.

R M DAVIS INC

CRD 105448

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:47a5f8c6-5ce2-3f7a-7ad4-342b6bfd31ac

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:23 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BRIAN HOWARD NOYES

Chartered Financial Analyst|Chartered Investment Counselor

PORTLAND, ME

n/a

DANA ROBERT MITIGUY

Chartered Financial Analyst

PORTLAND, ME

n/a

GEOFFREY KNIGHT ALEXANDER

n/a

PORTLAND, ME

n/a

JOHN DAVID DOUGHTY

n/a

PORTLAND, ME

n/a

WENDY ALLARD LAIDLAW

n/a

PORTLAND, ME

n/a

VINCENT FRANCIS DAMASCO

Chartered Financial Analyst

PORTLAND, ME

MATTHEW ALAN MCFARLAND

n/a

PORTLAND, ME

MICHAEL PHILIP WOOD

Chartered Financial Analyst

PORTLAND, ME

ROBERT MCINTIRE DAVIS

Certified Financial Planner

PORTLAND, ME

n/a

GEORGE CREELMAN CARR

n/a

PORTLAND, ME

DEAN EVERETT WALKER

n/a

PORTLAND, ME

n/a

MICHAEL J NEFF

Chartered Financial Analyst

PORTLAND, ME

KEVIN JAMES MANNING

n/a

PORTLAND, ME

n/a

TIMOTHY EDWARD MALISA

n/a

PORTLAND, ME

n/a

Timothy J Acquaviva

Chartered Financial Analyst

PORTLAND, ME | Portsmouth, NH

n/a

Andrew Bouchard Livingston

Certified Financial Planner|Chartered Financial Analyst

PORTLAND, ME

n/a

JOHN FRANCIS LEONARD

Certified Financial Planner

PORTLAND, ME

Edward G Smith

Certified Financial Planner

PORTLAND, ME

Marianne Dao Loew

Chartered Financial Analyst

Portsmouth, NH | PORTLAND, ME

Cade Blackburn

n/a

PORTLAND, ME | Portland, ME

n/a

Kurtis John Petersons

n/a

PORTLAND, ME | Portland, ME

n/a

GREGORY EZRA COX

Certified Financial Planner

PORTLAND, ME

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALEXANDER, GEOFFREY, KNIGHT

CEO, OWNER, DIRECTOR

yes

01/2004

Mar 30, 2026

BLANEY, DREW, ARTHUR

CFO, OWNER, DIRECTOR

yes

01/2026

Mar 30, 2026

CARR, GEORGE, CREELMAN

OWNER, DIRECTOR

yes

01/2026

Mar 30, 2026

DAVIS, ROBERT, MCINTIRE

OWNER, DIRECTOR

yes

01/2025

Mar 30, 2026

DOUGHTY, JOHN, DAVID

CIO, OWNER, DIRECTOR

yes

12/2019

Mar 30, 2026

DRAEGER, SCOT, ERIC

PRESIDENT, OWNER, DIRECTOR

yes

01/2017

Mar 30, 2026

DUBOIS, CALEB, CHASE BOOTHBY

CCO, VICE PRESIDENT, GENERAL COUNSEL

yes

09/2022

Mar 30, 2026

LAIDLAW, WENDY, ALLARD

OWNER, DIRECTOR

yes

01/2002

Mar 30, 2026

MCFARLAND, MATTHEW, ALAN

OWNER, DIRECTOR

yes

12/2019

Mar 30, 2026

NOYES, BRIAN, HOWARD

CHAIRMAN OF BOARD OF DIRECTORS, OWNER, DIRECTOR

yes

01/1993

Mar 30, 2026

WALKER, DEAN, EVERETT

COO, OWNER, DIRECTOR, VP-TRADING

yes

12/2017

Mar 30, 2026

WHITMORE, MICHELE, MARIE

OWNER, DIRECTOR

yes

01/2026

Mar 30, 2026

WOOD, MICHAEL, PHILIP

OWNER, DIRECTOR

yes

12/2020

Mar 30, 2026

FERNANDEZ, MARK, ANDREW

OWNER, DIRECTOR

yes

01/2004

Nov 21, 2011

Oct 8, 2024

City

State

Country

Employees

Also broker-dealer

Portsmouth

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$8.2B

$8.1B

n/a

2024

Mar 28, 2025

$7.3B

n/a

2023

Mar 27, 2024

$6.3B

n/a

2022

Mar 28, 2023

$5.8B

$5.7B

n/a

2021

Jan 27, 2022

$6.8B

$6.7B

n/a

2020

Mar 23, 2021

$5.4B

n/a

2019

Mar 25, 2020

$4.9B

$4.8B

n/a

2018

Mar 26, 2019

$3.9B

n/a

2017

May 1, 2018

$4.0B

n/a

2016

Mar 16, 2017

$3.4B

n/a

2015

Mar 24, 2016

$3.2B

$3.1B

n/a

2014

Mar 25, 2015

$3.1B

n/a

2013

Mar 24, 2014

$2.8B

n/a

2012

Mar 28, 2013

$2.3B

n/a

2011

Mar 22, 2012

$2.1B

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

$8.2B

$7.3B

12.2%

$5.8B

12.3%