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
R M Davis Inc
Latest filing Mar 30, 2026
First filing on the tape Nov 21, 2011 · 30 filings
SEC status approved since Jun 30, 1978
RAUM
$8.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$7.6B individuals and HNW
Advisors
22
registered through the firm on IAPD
RAUM per advisor
$371M
derived; firm RAUM over IAPD count
Employees
63
25 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$8.2B as of Mar 30, 2026
Mar 22, 2012$2.1B then
HNW client RAUM$7.0B as of Mar 30, 2026
May 1, 2018$3.1B then
State-registered IARs (5.B.3)22 as of Mar 30, 2026
Mar 22, 20120 then
Employees (5.A)63 as of Mar 30, 2026
Mar 28, 201341 then
Private funds: no history
RAUM +12% over the last fiscal year+12% a year over threeIARs 20 to 22
Practice profile
derived from the filing of Mar 30, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $371MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 106derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.9derivedItem 5.A over advisors
- Advisors per office
- 7.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $3.8B, 1,171 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$7.0B85%
- Individuals$649M8.0%
- Charitable organizations$358M4.4%
- Corporations and businesses$111M1.4%
- Pension and profit-sharing plans$50.1M0.6%
- State and municipal entities$15.2M0.2%
- Individual clients
- 1,042reported
- HNW clients
- 1,300reported
- Pension plan clients
- 10reported
- Charitable clients
- 57reported
- Accounts
- 6,124reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.8B for 1,171 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
22 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brian Howard NoyesChartered Financial Analyst, Chartered Investment Counselor | Portland, Me | Sep 26, 2002 | 42 y | 0 |
| Geoffrey Knight Alexander | Portland, Me | Sep 26, 2002 | 29 y | 0 |
| Dana Robert MitiguyChartered Financial Analyst | Portland, Me | Sep 26, 2002 | 26 y | 0 |
| John David Doughty | Portland, Me | Jan 2, 2003 | 30 y | 0 |
| Wendy Allard Laidlaw | Portland, Me | Sep 15, 2004 | 30 y | 0 |
| Vincent Francis DamascoChartered Financial Analyst | Portland, Me | Feb 2, 2012 | 26 y | 1 |
| Matthew Alan Mcfarland | Portland, Me | Jan 15, 2013 | 28 y | 4 |
| Michael Philip WoodChartered Financial Analyst | Portland, Me | Apr 9, 2013 | 30 y | 2 |
| Robert Mcintire DavisCertified Financial Planner | Portland, Me | Oct 28, 2013 | 13 y | 0 |
| George Creelman Carr | Portland, Me | Nov 3, 2015 | 11 y | 2 |
| Dean Everett Walker | Portland, Me | Aug 1, 2016 | 25 y | 0 |
| Michael J NeffChartered Financial Analyst | Portland, Me | Feb 7, 2021 | 15 y | 1 |
| Kevin James Manning | Portland, Me | Mar 30, 2022 | 11 y | 0 |
| Timothy Edward Malisa | Portland, Me | Oct 7, 2022 | 15 y | 0 |
| Timothy J AcquavivaChartered Financial Analyst | Portland, Me | Oct 18, 2022 | 15 y | 0 |
| Andrew Bouchard LivingstonCertified Financial Planner, Chartered Financial Analyst | Portland, Me | Sep 8, 2023 | 10 y | 0 |
| John Francis LeonardCertified Financial Planner | Portland, Me | Jan 16, 2024 | 16 y | 1 |
| Edward G SmithCertified Financial Planner | Portland, Me | Feb 1, 2024 | 11 y | 3 |
| Marianne Dao LoewChartered Financial Analyst | Portsmouth, Nh | Jul 16, 2024 | 17 y | 1 |
| Cade Blackburn | Portland, Me | Sep 25, 2024 | 24 y | 0 |
| Kurtis John Petersons | Portland, Me | Mar 25, 2025 | 10 y | 0 |
| Gregory Ezra CoxCertified Financial Planner | Portland, Me | May 23, 2025 | 16 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
- Reid Vaile Smith to David Wendell Associates, Inc.Aug 31, 2023 · RIA to RIA
- Jill Hibyan to F L Putnam Investment Management Co.Aug 25, 2022 · RIA to RIA
- Michael James Hanlon to F L Putnam Investment Management Co.Dec 13, 2016 · Other
Joined, latest
- Marianne Dao Loew from Focus Partners Wealth, LLCJul 16, 2024 · RIA to RIA
- Edward G Smith from Morgan StanleyFeb 1, 2024 · Wirehouse to independent RIA
- John Francis Leonard from J.P. Morgan Securities LLCJan 16, 2024 · Wirehouse to independent RIA
- Michael J Neff from People'S United Advisors, Inc.Feb 7, 2021 · RIA to RIA
- Reid Vaile Smith from David Wendell Associates, Inc.May 10, 2016 · Other
- George Creelman Carr from Old North Advisors, LLCNov 3, 2015 · Other
- Michael Philip Wood from Cmh Wealth Management, LLCApr 9, 2013 · Other
- Matthew Alan Mcfarland from People'S Securities, Inc.Jan 15, 2013 · Other
- Vincent Francis Damasco from The Colony Group, LLCFeb 2, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Knight Geoffrey Alexander · Ceo, Owner, Directorcontrolsince 01/2004 · owns 25% to 50%
- Arthur Drew Blaney · Cfo, Owner, Directorcontrolsince 01/2026 · owns less than 5%
- Creelman George Carr · Owner, Directorcontrolsince 01/2026 · owns less than 5%
- Mcintire Robert Davis · Owner, Directorcontrolsince 01/2025 · owns less than 5%
- David John Doughty · Cio, Owner, Directorcontrolsince 12/2019 · owns less than 5%
- Eric Scot Draeger · President, Owner, Directorcontrolsince 01/2017 · owns 5% to 10%
- Chase Boothby Caleb Dubois · Cco, Vice President, General Counselcontrolsince 09/2022 · owns less than 5%
- Andrew Mark Fernandez · Owner, Directorcontrolsince 01/2004 · owns 10% to 25%
- Allard Wendy Laidlaw · Owner, Directorcontrolsince 01/2002 · owns 5% to 10%
- Alan Matthew Mcfarland · Owner, Directorcontrolsince 12/2019 · owns less than 5%
- Howard Brian Noyes · Chairman Of Board Of Directors, Owner, Directorcontrolsince 01/1993 · owns 25% to 50%
- Everett Dean Walker · Coo, Owner, Director, Vp-Tradingcontrolsince 12/2017 · owns less than 5%
- Marie Michele Whitmore · Owner, Directorcontrolsince 01/2026 · owns less than 5%
- Philip Michael Wood · Owner, Directorcontrolsince 12/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Portland, Me · principal | 22 | 0 | 0 | ||
| Portsmouth, Nh | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Portsmouth, NH3 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 30, 2026DAVIS, ROBERT, MCINTIRE (OWNER, DIRECTOR) appeared on Schedule A between the filings of 2022-10-05 and 2026-03-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 30, 2026CARR, GEORGE, CREELMAN (OWNER, DIRECTOR) appeared on Schedule A between the filings of 2022-10-05 and 2026-03-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 30, 2026BLANEY, DREW, ARTHUR (CFO, OWNER, DIRECTOR) appeared on Schedule A between the filings of 2022-10-05 and 2026-03-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 30, 2026WHITMORE, MICHELE, MARIE (OWNER, DIRECTOR) appeared on Schedule A between the filings of 2022-10-05 and 2026-03-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 30, 2026FERNANDEZ, MARK, ANDREW (OWNER, DIRECTOR) left Schedule A between the filings of 2022-10-05 and 2026-03-30peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 5,881 to 6,124Jun 25, 2025 to Mar 30, 2026
- Advisory employees · 24 to 25Jun 25, 2025 to Mar 30, 2026
- Charity clients · 55 to 57Jun 25, 2025 to Mar 30, 2026
- Corporate clients · 19 to 22Jun 25, 2025 to Mar 30, 2026
- HNW clients · 1,091 to 1,300Jun 25, 2025 to Mar 30, 2026
- Individual clients · 1,190 to 1,042Jun 25, 2025 to Mar 30, 2026
- Pension plan clients · 12 to 10Jun 25, 2025 to Mar 30, 2026
- Assets in custody · $3.4B to $3.8BJun 25, 2025 to Mar 30, 2026
- Employees · 61 to 63Jun 25, 2025 to Mar 30, 2026
- State-registered IARs · 20 to 22Jun 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $7.3B to $8.1BJun 25, 2025 to Mar 30, 2026
- HNW RAUM · $5.9B to $7.0BJun 25, 2025 to Mar 30, 2026
- Individual RAUM · $862M to $649MJun 25, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $12.0M to $22.8MJun 25, 2025 to Mar 30, 2026
- Pension RAUM · $68.0M to $50.1MJun 25, 2025 to Mar 30, 2026
- RAUM · $7.3B to $8.2BJun 25, 2025 to Mar 30, 2026
- Financial planning clients · More than 500 to More than 500Mar 28, 2025 to Jun 25, 2025
- Accounts · 5,680 to 5,881Oct 8, 2024 to Mar 28, 2025
- Charity clients · 54 to 55Oct 8, 2024 to Mar 28, 2025
- Corporate clients · 21 to 19Oct 8, 2024 to Mar 28, 2025
- HNW clients · 1,011 to 1,091Oct 8, 2024 to Mar 28, 2025
- Individual clients · 1,256 to 1,190Oct 8, 2024 to Mar 28, 2025
- Assets in custody · $2.8B to $3.4BOct 8, 2024 to Mar 28, 2025
- Employees · 57 to 61Oct 8, 2024 to Mar 28, 2025
- State-registered IARs · 19 to 20Oct 8, 2024 to Mar 28, 2025
- Other offices · 1 to 2Oct 8, 2024 to Mar 28, 2025
- Discretionary RAUM · $6.3B to $7.3BOct 8, 2024 to Mar 28, 2025
- HNW RAUM · $5.1B to $5.9BOct 8, 2024 to Mar 28, 2025
- Individual RAUM · $864M to $862MOct 8, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $8.7M to $12.0MOct 8, 2024 to Mar 28, 2025
- Pension RAUM · $60.2M to $68.0MOct 8, 2024 to Mar 28, 2025
- RAUM · $6.3B to $7.3BOct 8, 2024 to Mar 28, 2025
- Accounts · 5,599 to 5,680Apr 3, 2023 to Mar 27, 2024
- Advisory employees · 21 to 24Apr 3, 2023 to Mar 27, 2024
- Charity clients · 55 to 54Apr 3, 2023 to Mar 27, 2024
- HNW clients · 928 to 1,011Apr 3, 2023 to Mar 27, 2024
- Individual clients · 1,333 to 1,256Apr 3, 2023 to Mar 27, 2024
- Assets in custody · $3.2B to $2.8BApr 3, 2023 to Mar 27, 2024
- Employees · 55 to 57Apr 3, 2023 to Mar 27, 2024
- State-registered IARs · 18 to 19Apr 3, 2023 to Mar 27, 2024
Signals
8 dated events
- Reid Vaile Smith left R M Davis Inc for David Wendell Associates, Inc. (registered 2023-09-08)Aug 31, 2023 · Advisor changed firm · fact
- Chase Boothby Caleb Dubois (Vice President, Deputy General Counsel, Cco) appeared on Schedule A of R M Davis IncOct 5, 2022 · Control person joined · fact
- Jill Hibyan left R M Davis Inc for F L Putnam Investment Management Co. (registered 2022-11-08)Aug 25, 2022 · Advisor changed firm · fact
- R M Davis Inc reported RAUM $6.8B, up 26% from $5.4B (2021-03-23 to 2022-01-27)Jan 27, 2022 · RAUM change · derived
- Philip Michael Wood (Owner, Director) appeared on Schedule A of R M Davis IncMar 23, 2021 · Control person joined · fact
- David John Doughty (Cio, Owner, Director) appeared on Schedule A of R M Davis IncMar 25, 2020 · Control person joined · fact
- Alan Matthew Mcfarland (Owner, Director) appeared on Schedule A of R M Davis IncMar 25, 2020 · Control person joined · fact
- Malcolm Robert Davis (Ceo, Director, Owner) no longer on Schedule A of R M Davis Inc (listed 2019-03-26, absent 2020-03-25)Mar 25, 2020 · Control person left · inference
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 email
- contact@rmdavis.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 207-774-0022reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-445-6303reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/R-M-DAVIS-INC-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- RMDAVIS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 207-774-0022reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- RMDAVIS.COM/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $371Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026