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RIA / WealthAdvisor23 years in industry

ANDRE NICHOLAS LISTER

Advisor at ACP INVESTMENT MANAGEMENT

Lihue, HI | KAILUA-KONA, HI

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Search this name across graphsid dfx:ria:83fa546a-9b59-62cb-9fc1-2673434e2ab7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Sep 9, 2003 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: ACP INVESTMENT MANAGEMENT
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: Oct 21, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 21, 2002
First registration: Sep 9, 2003
Dual registered: no
Other names: ANDRE LISTER
IAPD individual key: 4405762

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
ACP INVESTMENT MANAGEMENT	Independent wealth	Sep 30, 2025	n/a	yes	KAILUA-KONA, HI\|Lihue, HI	Current employment
SIGNALINE INVESTMENTS	n/a	Apr 28, 2016	Oct 15, 2018	no	SEATTLE, WA	Previous registration
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Former SEC adviser	May 10, 2011	Oct 31, 2025	no	SEATTLE, WA\|OLYMPIA, WA\|Lihue, HI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 2, 2009	Dec 21, 2011	no	SEATTLE, WA\|SAN DIEGO, CA\|SEATTLE, WA\|LIHUE, HI	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 26, 2006	Oct 5, 2009	no	SEATTLE, WA	Previous registration
KMS FINANCIAL SERVICES, INC	Former SEC adviser	Sep 17, 2004	May 26, 2006	no	SEATTLE, WA	Previous registration
AURA ASSET MANAGEMENT, INC.	n/a	Mar 12, 2004	Sep 17, 2004	no	BELLEVUE, WA	Previous registration
AURA FINANCIAL SERVICES, INC.	n/a	Sep 9, 2003	Sep 17, 2004	no	BIRMINGHAM, AL	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
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	SIGNALINE INVESTMENTS	Oct 31, 2025	Apr 28, 2016	-3,473	Firm change after gap	Other
SIGNALINE INVESTMENTS	ACP INVESTMENT MANAGEMENT	Oct 15, 2018	Sep 30, 2025	2,542	Firm change after gap	Other
LPL FINANCIAL LLC	FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Dec 21, 2011	May 10, 2011	-225	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	LPL FINANCIAL LLC	Oct 5, 2009	Oct 2, 2009	-3	Firm change	Other
KMS FINANCIAL SERVICES, INC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 26, 2006	May 26, 2006	0	Firm change	Other
AURA FINANCIAL SERVICES, INC.	AURA ASSET MANAGEMENT, INC.	Sep 17, 2004	Mar 12, 2004	-189	Firm change after gap	Other
AURA ASSET MANAGEMENT, INC.	KMS FINANCIAL SERVICES, INC	Sep 17, 2004	Sep 17, 2004	0	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
282622:338484:WA:2018-10-15	Oct 15, 2018	Sep 30, 2025	SEATTLE, WA	Firm change after gap

Relationships

Registered with (8)

→ ACP INVESTMENT MANAGEMENTRegistered adviserregistration: current employment
Sep 30, 2025 to presentfactForm ADV
→ FINANCIAL ADVOCATES INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
May 10, 2011 to Oct 31, 2025factForm ADV
→ SIGNALINE INVESTMENTSRegistered adviserregistration: previous registration
Apr 28, 2016 to Oct 15, 2018factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 2, 2009 to Dec 21, 2011factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 26, 2006 to Oct 5, 2009factForm ADV
→ KMS FINANCIAL SERVICES, INCRegistered adviserregistration: previous registration
Sep 17, 2004 to May 26, 2006factForm ADV
→ AURA ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Mar 12, 2004 to Sep 17, 2004factForm ADV
→ AURA FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Sep 9, 2003 to Sep 17, 2004factForm ADV

Dated events

Occurred
Oct 31, 2025
Advisor changed firm
Andre Nicholas Lister left Financial Advocates Investment Management for Signaline Investments (registered 2016-04-28)
Form ADVobserved 6 days ago