Tom Lee's Fundstrat Capital Files Preliminary Prospectus for Two New ETFs
Fundstrat Capital, led by Tom Lee, has filed a preliminary prospectus with the SEC for two new ETFs: the Fundstrat Granny Shots U.S. Small- & Mid-Cap ETF and the Fundstrat Granny Shots U.S. Large Cap & Income ETF.
The announcement follows the success of their flagship Granny Shots Large-cap ETF (GRNY), which has accumulated $2.3 billion in assets within just 9 months. The new ETFs will focus on small/mid-cap equity appreciation and large-cap income generation through options strategies, respectively, utilizing Fundstrat's proprietary "Granny Shots" thematic investment process.
Fundstrat Capital, guidata da Tom Lee, ha presentato alla SEC un prospetto preliminare per due nuovi ETF: il Fundstrat Granny Shots U.S. Small- & Mid-Cap ETF e il Fundstrat Granny Shots U.S. Large Cap & Income ETF.
L’annuncio segue il successo del loro ETF di punta, il Granny Shots Large-cap ETF (GRNY), che in soli 9 mesi ha raccolto $2.3 billion in assets. I nuovi ETF punteranno rispettivamente sull’apprezzamento delle azioni small/mid-cap e sulla generazione di reddito da large-cap tramite strategie con opzioni, sfruttando il processo d’investimento tematico proprietario di Fundstrat denominato "Granny Shots".
Fundstrat Capital, dirigida por Tom Lee, ha presentado un prospecto preliminar ante la SEC para dos nuevos ETF: el Fundstrat Granny Shots U.S. Small- & Mid-Cap ETF y el Fundstrat Granny Shots U.S. Large Cap & Income ETF.
El anuncio sigue al éxito de su ETF insignia, el Granny Shots Large-cap ETF (GRNY), que en solo 9 meses ha acumulado $2.3 billion in assets. Los nuevos ETF se enfocarán, respectivamente, en la apreciación de acciones small/mid-cap y en la generación de ingresos de large-cap mediante estrategias con opciones, utilizando el proceso temático propietario de Fundstrat llamado "Granny Shots".
Fundstrat Capital(톰 리 대표)는 Fundstrat Granny Shots U.S. Small- & Mid-Cap ETF와 Fundstrat Granny Shots U.S. Large Cap & Income ETF라는 두 개의 신규 ETF에 대해 증권거래위원회(SEC)에 예비 설명서를 제출했습니다.
이번 발표는 주력 상품인 Granny Shots Large-cap ETF (GRNY)의 성공에 따른 것으로, 해당 ETF는 단 9개월 만에 $2.3 billion in assets를 모았습니다. 새 ETF들은 각각 스몰/미드캡 주식의 가치 상승과 옵션 전략을 통한 대형주 수입 창출에 중점을 두며, Fundstrat의 독자적 테마 투자 프로세스인 "Granny Shots"를 활용합니다.
Fundstrat Capital, dirigée par Tom Lee, a déposé auprès de la SEC un prospectus préliminaire pour deux nouveaux ETF : le Fundstrat Granny Shots U.S. Small- & Mid-Cap ETF et le Fundstrat Granny Shots U.S. Large Cap & Income ETF.
Cette annonce fait suite au succès de leur ETF phare, le Granny Shots Large-cap ETF (GRNY), qui a rassemblé en seulement 9 mois $2.3 billion in assets. Les nouveaux ETF viseront respectivement l’appréciation des actions small/mid-cap et la génération de revenus sur les large caps via des stratégies d’options, en s’appuyant sur le processus d’investissement thématique propriétaire de Fundstrat, "Granny Shots".
Fundstrat Capital, unter der Leitung von Tom Lee, hat bei der SEC einen vorläufigen Prospekt für zwei neue ETFs eingereicht: den Fundstrat Granny Shots U.S. Small- & Mid-Cap ETF und den Fundstrat Granny Shots U.S. Large Cap & Income ETF.
Die Ankündigung folgt dem Erfolg ihres Flaggschiff-ETFs, des Granny Shots Large-cap ETF (GRNY), der innerhalb von nur 9 Monaten $2.3 billion in assets aufgebaut hat. Die neuen ETFs werden sich jeweils auf die Wertsteigerung von Small-/Mid-Cap-Aktien bzw. auf die Erzielung von Large-Cap-Einnahmen durch Optionsstrategien konzentrieren und dabei Fundstrats proprietären thematischen Investmentansatz "Granny Shots" nutzen.
- None.
- New funds carry operational and new fund risks
- Small and mid-cap focus exposes investors to higher market volatility
- Dependence on proprietary models and third-party data poses potential risks
Insights
Fundstrat expands ETF lineup following first fund's success, signaling strong market traction and business growth potential.
Fundstrat Capital's filing for two new ETFs represents a significant expansion of their product lineup following remarkable traction with their initial offering. Their flagship Granny Shots Large-Cap ETF (GRNY) has accumulated an impressive
The new products strategically broaden Fundstrat's market coverage: one targeting the small/mid-cap space using their proprietary "Granny Shots" methodology, and another combining large-cap exposure with options-based income strategies. This dual approach addresses two distinct investor needs - growth potential in smaller companies and income generation with reduced volatility.
Tom Lee, a well-regarded market strategist with significant public visibility, brings considerable brand equity to these offerings. His involvement likely contributed substantially to the rapid asset accumulation in their first ETF. The expansion signals strong client demand and suggests Fundstrat's research-driven approach has gained meaningful traction among investors.
The small/mid-cap focus is particularly noteworthy as it extends their methodology to market segments that typically offer different risk/return characteristics than large caps. Meanwhile, the income-oriented product represents diversification into a strategy focused on yield rather than pure appreciation, potentially attracting a different investor demographic.
While still early in the regulatory process, this expansion demonstrates Fundstrat's commitment to building a comprehensive ETF franchise rather than offering a single niche product - suggesting confidence in both their investment methodology and their ability to scale assets under management across multiple offerings.
- Fundstrat Granny Shots
U.S. Small- & Mid-Cap ETF – Seeks long-term capital appreciation through an actively managed portfolio ofU.S. small- and mid-capitalization equities selected using Fundstrat's proprietary "Granny Shots" thematic investment process. - Fundstrat Granny Shots
U.S. Large Cap & Income ETF – Primarily seeks to provide current income, with a secondary objective of long-term capital appreciation, combining large-cap equity exposure with actively managed options-based income strategies.
"Our first ETF, Granny Shots Large-cap ETF is an astonishing success, gathering
- Thomas "Tom" Lee, Chief Investment Officer and Senior Portfolio Manager at Fundstrat Capital & Co-founder and Head of Research at Fundstrat.
"Following the launch of the Fundstrat Granny Shots
- John Bai, Co-founder and Managing Partner at Fundstrat.
The preliminary prospectus can be accessed at grannyshots.com/coming-soon and the SEC EDGAR database. For more information and to stay updated, please visit grannyshots.com/coming-soon or contact inquiry@fundstratcapital.com. This filing is the first step in the registration process for the ETFs and does not constitute an offer to sell or a solicitation of an offer to buy any securities.
BEFORE INVESTING, YOU SHOULD CAREFULLY CONSIDER THE FUND'S INVESTMENT OBJECTIVES, RISKS, CHARGES, AND EXPENSES. THIS AND OTHER INFORMATION IS CONTAINED IN THE PROSPECTUS, WHICH CAN BE ACCESSED AT GRANNYSHOTS.COM/COMING-SOON OR BY CALLING (212) 293-7132. PLEASE READ THE PROSPECTUS CAREFULLY BEFORE INVESTING.
INFORMATION CONTAINED HEREIN IS SUBJECT TO COMPLETION OR AMENDMENT. A REGISTRATION STATEMENT RELATING TO THESE SECURITIES HAS BEEN FILED WITH THE SECURITIES AND EXCHANGE COMMISSION BUT HAS NOT YET BECOME EFFECTIVE. THESE SECURITIES MAY NOT BE SOLD NOR MAY OFFERS TO BUY BE ACCEPTED PRIOR TO THE TIME THE REGISTRATION STATEMENT BECOMES EFFECTIVE. THIS COMMUNICATION SHALL NOT CONSTITUTE AN OFFER TO BUY OR THE SOLICITATION OF AN OFFER TO BUY NOR SHALL THERE BE ANY SALE OF THESE SECURITIES IN ANY STATE IN WHICH SUCH OFFER, SOLICITATION OR SALE WOULD BE UNLAWFUL PRIOR TO REGISTRATION OR QUALIFICATION UNDER SECURITIES LAWS OF ANY SUCH STATE.
AN INDICATION OF INTEREST IN RESPONSE TO THIS ADVERTISEMENT WILL INVOLVE NO OBLIGATION OR COMMITMENT OF ANY KIND.
Investing involves risk. Principal loss is possible.
The principal risks of investing in the Fund are summarized below. As with any investment, there is a risk that you could lose all or a portion of your investment in the Fund. Some or all of these risks may adversely affect the Fund's net asset value per share ("NAV"), trading price, yield, total return, and/or ability to meet its investment objective. For more information about the risks of investing in the Fund, see the section in the Fund's Prospectus titled "Additional Information About the Fund-Principal Risks of Investing in the Fund."
Equity Market Risk. Common stocks are generally exposed to greater risk than other types of securities, such as preferred stock and debt obligations, because common stockholders generally have inferior rights to receive payment from specific issuers.
Mid-Capitalization Investing. The securities of mid-capitalization companies may be more vulnerable to adverse issuer, market, political, or economic developments than securities of large-capitalization companies. The securities of mid-capitalization companies generally trade in lower volumes and are subject to greater and more unpredictable price changes than large-capitalization stocks or the stock market as a whole.
Small-Capitalization Investing. Small-cap companies may be less stable and more susceptible to market changes, with their securities being more volatile and less liquid.
Models and Data Risk. The composition of the Fund's portfolio is heavily dependent on investment models developed by the Sub-Adviser as well as information and data supplied by third parties ("Models and Data"). When Models and Data prove to be incorrect or incomplete, any decisions made in reliance thereon may lead to the inclusion or exclusion of securities from the Fund's portfolio that would have been excluded or included had the Models and Data been correct and complete.
Operational Risk. The Fund is subject to risks arising from various operational factors, including, but not limited to, human error, processing and communication errors of the Fund's service providers, counter parties or other third-parties, failed or inadequate processes and technology or systems failures. The Fund relies on third-parties for a range of services, including custody.
New Fund Risk. The Fund is a recently organized management investment company with no operating history. As a result, prospective investors do not have a track record or history on which to base their investment decisions.
Distributed by Foreside Fund Services, LLC. Foreside is not related to Tidal or Fundstrat.
Media Contact: For media inquiries, contact inquiry@fundstratcapital.com.
Fundstrat Capital is an investment management firm led by Chief Investment Officer Thomas "Tom" Lee, specializing in thematic, research-driven equity strategies. The firm applies evidence-based research and market trend analysis to develop actively managed investment solutions for a broad range of investors.
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¹ The Fundstrat Granny Shots
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SOURCE Fundstrat Capital
FAQ
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