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Adaptation of Embedding Models to Financial Filings via LLM Distillation

Brenner, Eliot, Seyler, Dominic, Hegde, Manjunath, Simion, Andrei, Dasgupta, Koustuv, Xiang, Bing

arXiv.org Artificial Intelligence

Despite advances in generative large language models (LLMs), practical application of specialized conversational AI agents remains constrained by computation costs, latency requirements, and the need for precise domain-specific relevance measures. While existing embedding models address the first two constraints, they underperform on information retrieval in specialized domains like finance. This paper introduces a scalable pipeline that trains specialized models from an unlabeled corpus using a general purpose retrieval embedding model as foundation. Our method yields an average of 27.7% improvement in MRR$\texttt{@}$5, 44.6% improvement in mean DCG$\texttt{@}$5 across 14 financial filing types measured over 21,800 query-document pairs, and improved NDCG on 3 of 4 document classes in FinanceBench. We adapt retrieval embeddings (bi-encoder) for RAG, not LLM generators, using LLM-judged relevance to distill domain knowledge into a compact retriever. There are prior works which pair synthetically generated queries with real passages to directly fine-tune the retrieval model. Our pipeline differs from these by introducing interaction between student and teacher models that interleaves retrieval-based mining of hard positive/negative examples from the unlabeled corpus with iterative retraining of the student model's weights using these examples. Each retrieval iteration uses the refined student model to mine the corpus for progressively harder training examples for the subsequent training iteration. The methodology provides a cost-effective solution to bridging the gap between general-purpose models and specialized domains without requiring labor-intensive human annotation.


Robust Adaptive Time-Varying Control Barrier Function with Application to Robotic Surface Treatment

Kim, Yitaek, Sloth, Christoffer

arXiv.org Artificial Intelligence

Set invariance techniques such as control barrier functions (CBFs) can be used to enforce time-varying constraints such as keeping a safe distance from dynamic objects. However, existing methods for enforcing time-varying constraints often overlook model uncertainties. To address this issue, this paper proposes a CBFs-based robust adaptive controller design endowing time-varying constraints while considering parametric uncertainty and additive disturbances. To this end, we first leverage Robust adaptive Control Barrier Functions (RaCBFs) to handle model uncertainty, along with the concept of Input-to-State Safety (ISSf) to ensure robustness towards input disturbances. Furthermore, to alleviate the inherent conservatism in robustness, we also incorporate a set membership identification scheme. We demonstrate the proposed method on robotic surface treatment that requires time-varying force bounds to ensure uniform quality, in numerical simulation and real robotic setup, showing that the quality is formally guaranteed within an acceptable range.


Scalable Unit Harmonization in Medical Informatics via Bayesian-Optimized Retrieval and Transformer-Based Re-ranking

de la Torre, Jordi

arXiv.org Artificial Intelligence

Objective: To develop and evaluate a scalable methodology for harmonizing inconsistent units in large-scale clinical datasets, addressing a key barrier to data interoperability. Materials and Methods: We designed a novel unit harmonization system combining BM25, sentence embeddings, Bayesian optimization, and a bidirectional transformer based binary classifier for retrieving and matching laboratory test entries. The system was evaluated using the Optum Clinformatics Datamart dataset (7.5 billion entries). We implemented a multi-stage pipeline: filtering, identification, harmonization proposal generation, automated re-ranking, and manual validation. Performance was assessed using Mean Reciprocal Rank (MRR) and other standard information retrieval metrics. Results: Our hybrid retrieval approach combining BM25 and sentence embeddings (MRR: 0.8833) significantly outperformed both lexical-only (MRR: 0.7985) and embedding-only (MRR: 0.5277) approaches. The transformer-based reranker further improved performance (absolute MRR improvement: 0.10), bringing the final system MRR to 0.9833. The system achieved 83.39\% precision at rank 1 and 94.66\% recall at rank 5. Discussion: The hybrid architecture effectively leverages the complementary strengths of lexical and semantic approaches. The reranker addresses cases where initial retrieval components make errors due to complex semantic relationships in medical terminology. Conclusion: Our framework provides an efficient, scalable solution for unit harmonization in clinical datasets, reducing manual effort while improving accuracy. Once harmonized, data can be reused seamlessly in different analyses, ensuring consistency across healthcare systems and enabling more reliable multi-institutional studies and meta-analyses.


JEDA: Query-Free Clinical Order Search from Ambient Dialogues

Singh, Praphul, Barrett, Corey, Srivasta, Sumana, Saikia, Amitabh, Bulu, Irfan, Gadde, Sri, Kenthapadi, Krishnaram

arXiv.org Artificial Intelligence

Clinical conversations mix explicit directives (order a chest X-ray) with implicit reasoning (the cough worsened overnight, we should check for pneumonia). Many systems rely on LLM rewriting, adding latency, instability, and opacity that hinder real-time ordering. We present JEDA (Joint Embedding for Direct and Ambient clinical orders), a domain-initialized bi-encoder that retrieves canonical orders directly and, in a query-free mode, encodes a short rolling window of ambient dialogue to trigger retrieval. Initialized from PubMedBERT and fine-tuned with a duplicate-safe contrastive objective, JEDA aligns heterogeneous expressions of intent to shared order concepts. Training uses constrained LLM guidance to tie each signed order to complementary formulations (command only, context only, command+context, context+reasoning), producing clearer inter-order separation, tighter query extendash order coupling, and stronger generalization. The query-free mode is noise-resilient, reducing sensitivity to disfluencies and ASR errors by conditioning on a short window rather than a single utterance. Deployed in practice, JEDA yields large gains and substantially outperforms its base encoder and recent open embedders (Linq Embed Mistral, SFR Embedding, GTE Qwen, BGE large, Embedding Gemma). The result is a fast, interpretable, LLM-free retrieval layer that links ambient context to actionable clinical orders in real time.


Appendix for RD-Suite: A Benchmark for Ranking Distillation

Neural Information Processing Systems

The website hosts the datasets in TREC format, which is standard in information retrieval literature. More specifically we have two files for each dataset. For trec_run.txt, each role looks like: The last number is the label field. All datasets in RD-Suite are popular public datasets. Retrieval is not needed for these datasets.