JV
James R. Van Diest
VAN DIEST CAPITAL
POLK CITY, IA 50226
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CRD#: 6978124
JV
Professional summary
James Roger Van Diest is a registered financial advisor currently at VAN DIEST CAPITAL located in Polk City, Iowa.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. James has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) VAN DIEST CAPITAL, LLC (FIXED INSURANCE) POS: Owner/Insurance Sales NATURE: LLC & DBA for fixed insurance INVESTMENT RELATED: Yes # OF HRS: 20 SECURITIES TRADING HRS: 20 START DATE: 3/15/24 ADDRESS: Webster City IA 50595 DESCRIPTION: Solicit sales and servicing of fixed insurance products 2) VAN DIEST CAPITAL, LLC- SECURITIES POS: Founder/Private Wealth Advisor NATURE: LLC & DBA name for securities business INVESTMENT RELATED: Yes # OF HRS: 5 SECURITIES TRADING HRS: 5 START DATE: 3/15/24 ADDRESS: Webster City IA 50595 DESCRIPTION: Provide investment advisory services to clientele, financial plans, trade securities if applicable, establish employer plans, etc. 3) ANKENY YOUNG PROFESSIONALS POSITION: Board Member, Treasurer NATURE: AYP develops leaders through networking, outreach, growth, and community involvement. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/1/2025 ADDRESS: 1360 SW Park Sq Dr Ankeny IA 50023 DESCRIPTION: Support AYP's growth strategy, guide budget planning, ensure financial stability. 4) Van Diest Holdings, LLC - Owner Investment Related: Yes Number of hours: 1 Securities Trading Hours: 0 Start Date: 2024-11-15 Address: 919 NW 32nd St Ankeny IA 50023 Description: Acts as a holding company for real estate investments, primarily commercial in the state of Iowa. Responsibilities: Help identify, vet and invest in opportunities as they arise. 5) ANKENY COMMUNITY CHAMPIONS - BOARD MEMBER NATURE: Ankeny leaders uniting to support and uplift community. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 1/1/25 ADDRESS: 210 Ne Delaware Ave Ste 200 Ankeny IA 50021 DESCRIPTION: Provide guidance on strategic growth and development of the community of Ankeny and helping those in the community to gain access to resources and economic opportunity via non-profits. 6) PHOEBE FOUNDATION AFRICA POS: Board Member NATURE: Non-profit INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/12/2025 ADDRESS: Plot 122 New Twapia, Ndola UM 00000 DESCRIPTION: Provide strategic advice on the growth and partnership opportunities with the PFA and other organizations to grow the footprint of impact the PFA can make on those that need it most. 7) YOUNG PROFESSIONALS CONNECTION - BOARD OF DIRECTORS POS: Board Member, Treasurer NATURE: Non-profit INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 02/03/2025 ADDRESS: Des Moines IA 50309 DESCRIPTION: Along with growing the young professional pool and resources available to those in the DSM area I will create a record of all monthly meetings and any special meetings and keep record of the financials of the organization. 8) Greater Des Moines Partnership - YPC - Board Member & Treasurer NATURE: Young professionals connect, grow careers, build community, and drive change. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2025 ADDRESS: 700 Locust Street, Suite 100, Des Moines DESCRIPTION: Guide growth strategy, ensure financial oversight, support organizational sustainability. 9) Van Diest Brokerage, LLC - IAR NATURE: Broker-dealer affiliation. INVESTMENT RELATED: YES NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/15/2025 ADDRESS: 23350 N. Pima Rd. Scottsdale AZ 85255 DESCRIPTION: Offer clients commissionable products and trading services they need. 10) Van Diest Land Partners, LLC - Founder; NATURE: Multi-Owner LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 2025-04-29 ADDRESS: 1016 Sumit Drive Webster City IA 50595 DESCRIPTION: Utilized for purchasing and leasing out land.
CRS (Client Relationship Summary) - RIA
Click below to view James Roger Van Diest's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 16, 2025 - Present
VAN DIEST CAPITAL
Office #1: 302 West Broadway Suite 9, Polk City, IA 50226RIA
CRD#: 334743
POLK CITY, IA
Past
May 10, 2023 - April 22, 2025
OSAIC WEALTH, INC.
RIA
CRD#: 23131
WEBSTER CITY, IA
Past
April 5, 2023 - April 22, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
WEBSTER CITY, IA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Iowa(4/16/2025)
IAR
Texas(4/16/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/5/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
VD
VAN DIEST CAPITAL
VAN DIEST CAPITAL | VAN DIEST CAPITAL, LLC
CRD#: 334743 / SEC#:
Iowa
Registered Investment Advisory firm - (3/18/2025 Approved)Texas
Registered Investment Advisory firm - (1/29/2025 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
302 West Broadway Suite 9, Polk City, IA 50226
Mailing Address
Po Box 55, Polk City, IA 50226
Phone number
(515) 620-2085
Established
Firm type
Fiscal year end
# of Employees
2
0
Red Flags
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Company Information
VAN DIEST CAPITAL
CRD#: 334743Polk City, IA 50226TRUST BUT VERIFY
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