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RIA / WealthAdvisor41 years in industry

WILLIAM JAMES RILEY

Advisor at CRISTATA INVESTMENT MANAGEMENT

WOODSTOCK, MD

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Search this name across graphsid dfx:ria:58622165-6ed6-cf8c-e881-50d7fc8fbdbc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 5, 2001 to Sep 14, 2026

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

Current firm: CRISTATA INVESTMENT MANAGEMENT
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 2, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Aug 2, 1985
First registration: Sep 5, 2001
Dual registered: no
Other names: BILL JAMES RILEY
IAPD individual key: 1388423

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CRISTATA INVESTMENT MANAGEMENT	Former SEC adviser	Apr 27, 2009	n/a	yes	WOODSTOCK, MD	Current employment
RBC CAPITAL MARKETS, LLC	National bd RIA	Mar 13, 2009	Apr 23, 2009	no	EASTON, MD	Previous registration
FERRIS, BAKER WATTS, LLC	n/a	Aug 17, 2005	Mar 13, 2009	no	EASTON, MD\|EASTON, MD	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 5, 2001	Aug 29, 2005	no	ELLICOTT CTY, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RBC CAPITAL MARKETS, LLC	CRISTATA INVESTMENT MANAGEMENT	Apr 23, 2009	Apr 27, 2009	4	Firm change	Other
FERRIS, BAKER WATTS, LLC	RBC CAPITAL MARKETS, LLC	Mar 13, 2009	Mar 13, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	FERRIS, BAKER WATTS, LLC	Aug 29, 2005	Aug 17, 2005	-12	Firm change	Other

Relationships

Registered with (4)

→ CRISTATA INVESTMENT MANAGEMENTRegistered adviserregistration: current employment
Apr 27, 2009 to presentfactForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Mar 13, 2009 to Apr 23, 2009factForm ADV
→ FERRIS, BAKER WATTS, LLCRegistered adviserregistration: previous registration
Aug 17, 2005 to Mar 13, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 5, 2001 to Aug 29, 2005factForm ADV

Dated events

No dated event names this entity yet.