Tom Lee's Fundstrat Capital Files Preliminary Prospectus for Two New ETFs

News provided by

Aug 25, 2025, 07:30 ET

NEW YORK, Aug. 25, 2025 /PRNewswire/ -- Fundstrat Capital announced that it has filed a preliminary prospectus with the U.S. Securities and Exchange Commission ("SEC") for two new exchange-traded funds (ETFs):

Fundstrat Granny Shots U.S. Small- & Mid-Cap ETF – Seeks long-term capital appreciation through an actively managed portfolio of U.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 $2.3 billion in assets in just 9 months.¹ We have been asked to offer additional ETF products including making our Fundstrat SMID Granny Shots into a tax efficient ETF and also offer a Granny Shots income-oriented product. We listen to our clients and these are very complementary to our flagship Granny Shots ETF."

- 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 U.S. Large Cap ETF (GRNY), we have received clear demand from clients for expanded opportunities to incorporate Fundstrat's research into their portfolios."

- 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 [email protected]. 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 [email protected].

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.

Follow Fundstrat Capital on socials:
X: https://x.com/FundstratCap
LinkedIn: https://www.linkedin.com/company/fundstrat-capital
YouTube: https://www.youtube.com/@FundstratCapital

____________________

¹ The Fundstrat Granny Shots U.S. Large-Cap ETF (NYSE: GRNY) had assets under management of $2.3 billion as of August 15, 2025.

SOURCE Fundstrat Capital