James Van Diest has been CCO, CEO, CIO & Partner of Van Diest Capital since March 2025, is a control person of the firm and directly owns under 5% of it. James Van Diest holds a Bachelor of Science in Finance from Iowa State University, a Bachelor of Science in Business Economics from Iowa State University, a Master of Business Administration (MBA) from Iowa State University and a Master of Finance (MFIN) from Iowa State University.
Van Diest Capital, LLC is a Polk City, IA firm with $144M under management, 467 clients and 8 advisers across 3 offices, as of its August 2026 filing.
James Van Diest is Chief Executive Officer and Chief Investment Officer of Van Diest Capital, which he founded. He leads the firm's strategic direction and investment philosophy. His background includes financial analysis, private equity, strategy, accounting and investments, and he specializes in private wealth management and institutional-level investment strategy.
James Van Diest’s longest registration was 1 year at Osaic Wealth, Inc. (2023–2025). Before joining Van Diest Capital in 2025, James Van Diest was registered through Osaic Wealth, Inc.
- Osaic Wealth, Inc.– · 1 yearWebster City, IA · Adviser representative · Firm CRD 23131
Investment adviser representative registrations
James Van Diest is registered as an investment adviser representative in 2 states. Each was approved in April 2025.
- IowaSince 16 April 2025
- TexasSince 16 April 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 9 May 2023 |
| Series 7TO | General Securities Representative Examination | 5 April 2023 |
| SIE | Securities Industry Essentials Examination | 21 February 2023 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- James Roger Van Diest
- CRD
- 6978124
- Firm
- Van Diest Capital · CRD 334743
- Role
- CCO, CEO, CIO & Partner
- Office
- 302 WEST BROADWAY, SUITE 9, Polk City, IA 50226
- Registration
- Investment adviser registration
- In the industry since
- April 2023
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- vandiestcapital.com
Where does James Van Diest work?
James Van Diest has been CCO, CEO, CIO & Partner of Van Diest Capital, LLC since March 2025, and is a control person of the firm.
Is James Van Diest a financial advisor?
Yes. James Van Diest has a current investment-adviser registration in Iowa and Texas, through Van Diest Capital since April 2025.
How many years of experience does James Van Diest have?
James Van Diest has 3 years in the financial industry, since April 2023, across 2 adviser firms.
What exams has James Van Diest passed?
James Van Diest has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in February 2023.
Where is James Van Diest based?
James Van Diest’s registered office is in Polk City, IA.
Is James Van Diest registered with FINRA?
No. James Van Diest has no current broker registration.
How can I verify James Van Diest’s record?
Search CRD 6978124 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Van Diest’s full registration record.
