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Caleb DuBois, J.D.
Vice President, Chief Compliance Officer & General Counsel
Portland, ME
Caleb DuBois
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Caleb DuBois, J.D.

Vice President, Chief Compliance Officer & General Counsel
Portland, ME

Caleb serves as the Chief Compliance Officer, General Counsel, and a Vice President of R.M. Davis.  Caleb is responsible for the oversight and direction of the company’s compliance activities and risk management environment, the implementation of its compliance policies and procedures, and the management of its legal affairs.

Caleb joined R.M. Davis in 2022.  Prior to joining, Caleb was a shareholder at Bernstein Shur, a local law firm, where he represented investment advisory firms, banks, trust companies, broker-dealers, mutual funds, exchange-traded funds, corporations, and business owners of all types in the full range of their business development, regulatory compliance, and corporate needs, including helping C-suite executives navigate complex regulatory risks and sensitive fiduciary and ethical matters. 

Caleb grew up in Parsonsfield, Maine and now resides in North Yarmouth, Maine with his wife, Kimberly, their son, Oliver, and their daughter, Peyton.  When Caleb is not working, he enjoys playing basketball, coaching youth soccer, creating epic bedtime stories with his children, skiing, brewing beer, learning about wood working, and rooting for all the New England sports teams.

Work Experience

  • Joined R.M. Davis in 2022
  • Bernstein Shur (2007-2022), Co-Chairman of the Asset Management and Securities & Financial Regulation and Compliance Industry Groups; Member of the Business Law Practice Group


  • J.D., Northeastern University School of Law
  • A.B., Bowdoin College, magna cum laude, Phi Beta Kappa


  • American Bar Association
  • Maine State Bar Association


  • Barnett I. Shur Civic Award for Volunteer Work

Community Involvement

  • Cumberland/North Yarmouth United Soccer Club
  • Big Brothers Big Sisters of Southern Maine, Board member (past)