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RIA / WealthAdvisor12 years in industry

ESTEFANIA GORMAN

Advisor at SCALA CAPITAL LLC

MIAMI, FL | Ft Myers, FL

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Search this name across graphsid dfx:ria:ecd47513-a1f0-023e-c05b-aba965350177

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 6, 2014 to Sep 15, 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: SCALA CAPITAL LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 3, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 3, 2014
First registration: Feb 6, 2014
Dual registered: no
Other names: ESTEFANIA CASTILLO
IAPD individual key: 6168784

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
SCALA CAPITAL LLC	Independent wealth	Jul 24, 2024	n/a	yes	MIAMI, FL\|Ft Myers, FL	Current employment
FIRST TRUST ADVISORS LP	Asset manager	Mar 12, 2019	Apr 17, 2024	no	AUSTIN, TX\|WHEATON, IL\|FORT MYERS, FL	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Nov 9, 2018	Mar 8, 2019	no	AUSTIN, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 3, 2014	May 3, 2017	no	MIAMI, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 6, 2014	Oct 2, 2014	no	MIAMI, FL\|MIAMI, FL	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
FIRST TRUST ADVISORS LP	SCALA CAPITAL LLC	Apr 17, 2024	Jul 24, 2024	98	Firm change	Other
OPPENHEIMER & CO. INC.	FIRST TRUST ADVISORS LP	Mar 8, 2019	Mar 12, 2019	4	Firm change	Other
WELLS FARGO ADVISORS	OPPENHEIMER & CO. INC.	May 3, 2017	Nov 9, 2018	555	Firm change after gap	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Oct 2, 2014	Oct 3, 2014	1	Firm change	Wirehouse to wirehouse

Relationships

Registered with (5)

→ SCALA CAPITAL LLCRegistered adviserregistration: current employment
Jul 24, 2024 to presentfactForm ADV
→ FIRST TRUST ADVISORS LPRegistered adviserregistration: previous registration
Mar 12, 2019 to Apr 17, 2024factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Nov 9, 2018 to Mar 8, 2019factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 3, 2014 to May 3, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 6, 2014 to Oct 2, 2014factForm ADV

Dated events

Occurred
Apr 17, 2024
Advisor changed firm
Estefania Gorman left First Trust Advisors Lp for Scala Capital Llc (registered 2024-07-24)
Form ADVobserved 6 days ago