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JV

James R. Van Diest

VAN DIEST CAPITAL
POLK CITY, IA 50226
Some features on this profile are disabled
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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Roger Van Diest's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 16, 2025 - Present

VAN DIEST CAPITAL

Office #1: 302 West Broadway Suite 9, Polk City, IA 50226
RIA
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
RR
IAR
Series 66
Date: 5/9/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/5/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/21/2023
Securities Industry Essentials Examination

Current Firm

VD
VAN DIEST CAPITAL
VAN DIEST CAPITAL | VAN DIEST CAPITAL, LLC

CRD#: 334743 / SEC#: 801-135478

Iowa
Registered Investment Advisory firm - (3/18/2025 Approved)
Texas
Registered Investment Advisory firm - (1/29/2025 Conditional Restricted)
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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
8

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - VAN DIEST CAPITAL (2/17/2026)

Regulatory assets under management

Total Number of Accounts985
AUM (Assets Under Management)$ 144,104,427

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

VAN DIEST CAPITAL

CRD#: 334743Polk City, IA 50226

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