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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

DORION-GRAY RETIREMENT PLANNING, INC.

DORION GRAY FINANCIAL SERVICES INC., CRD 114390

CRYSTAL LAKE, IL

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:06852105-57ca-ab20-bb6f-e9767087dccb

Data as of Jul 11, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2012 to Jul 11, 2012
3 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $66.0MItem 5.F on the latest filing (2012-07-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $62.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 409
SEC number: 801-62870
CRD: 114390
Filings on the tape: 3
First filed: Mar 21, 2012
Latest filed: Jul 11, 2012
Organised: Corporation, Illinois

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
DORIONGRAY, PAULA, LAURETTA	President	E	yes	01/1995	Mar 21, 2012	Jul 11, 2012
GRAY, ROBERT, MARK	EXECUTIVE VICE PRESIDENT OF OPERATIONS & MARKETING	B	yes	01/1995	Mar 21, 2012	Jul 11, 2012
MARIANI-ISSEL, ANN, MARIE	CHIEF COMPLIANCE OFFICER	Na	yes	01/2012	Mar 21, 2012	Jul 11, 2012

Offices

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

City	State	Country	Employees	Also broker-dealer
Scottsdale	Az	United States	n/a	no
Lincolnshire	IL	United States	n/a	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
2011	Mar 21, 2012	$66.0M	$62.0M	n/a	n/a	n/a	n/a	n/a

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
2011	$66.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (3)

← DORIONGRAY, PAULA, LAURETTAOwnerPRESIDENT, ownership code E, individual
Mar 21, 2012 to presentfactForm ADV
← MARIANI-ISSEL, ANN, MARIEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV
← GRAY, ROBERT, MARKOwnerEXECUTIVE VICE PRESIDENT OF OPERATIONS & MARKETING, ownership code B, individual
Mar 21, 2012 to presentfactForm ADV

Registered with (6)

← ANN MARIE MARIANI-ISSELAdvisorregistration: previous registration
Feb 27, 2012 to Dec 31, 2013factForm ADV
← MARK ALLEN DAVIDSAdvisorregistration: previous registration
Nov 2, 2001 to Dec 31, 2013factForm ADV
← JAMES MICHAEL DAVIDSAdvisorregistration: previous registration
Oct 8, 2007 to Dec 31, 2013factForm ADV
← JOSEPH D RICCIARDIAdvisorregistration: previous registration
Sep 28, 2010 to Dec 31, 2013factForm ADV
← JOHN CLINTON SHANKLANDAdvisorregistration: previous registration
Nov 2, 2001 to Feb 11, 2008factForm ADV
← LISA PALMER DICKHOLTZAdvisorregistration: previous registration
Nov 2, 2001 to Sep 6, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:06852105-57ca-ab20-bb6f-e9767087dccb
First observed: Mar 21, 2012
Last observed: Jul 11, 2012 172 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.

DORION-GRAY RETIREMENT PLANNING, INC.

DORION GRAY FINANCIAL SERVICES INC., CRD 114390

CRYSTAL LAKE, IL

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:06852105-57ca-ab20-bb6f-e9767087dccb

Data as of Jul 11, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:34 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DORIONGRAY, PAULA, LAURETTA

President

yes

01/1995

Mar 21, 2012

Jul 11, 2012

GRAY, ROBERT, MARK

EXECUTIVE VICE PRESIDENT OF OPERATIONS & MARKETING

yes

01/1995

Mar 21, 2012

Jul 11, 2012

MARIANI-ISSEL, ANN, MARIE

CHIEF COMPLIANCE OFFICER

yes

01/2012

Mar 21, 2012

Jul 11, 2012

City

State

Country

Employees

Also broker-dealer

Scottsdale

United States

n/a

Lincolnshire

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 21, 2012

$66.0M

$62.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$66.0M

n/a