QuantBench: Benchmarking AI Methods for Quantitative Investment

The field of artificial intelligence (AI) in quantitative investment has seen significant advancements, yet it lacks a standardized benchmark aligned with industry practices. This gap hinders research progress and limits the practical application of academic innovations. We present QuantBench, an industrial-grade benchmark platform designed to address this critical need. QuantBench offers three key strengths: (1) standardization that aligns with quantitative investment industry practices, (2) flexibility to integrate various AI algorithms, and (3) full-pipeline coverage of the entire quantitative investment process. Our empirical studies using QuantBench reveal some critical research directions, including the need for continual learning to address distribution shifts, improved methods for modeling relational financial data, and more robust approaches to mitigate overfitting in low signal-to-noise environments. By providing a common ground for evaluation and fostering collaboration between researchers and practitioners, QuantBench aims to accelerate progress in AI for quantitative investment, similar to the impact of benchmark platforms in computer vision and natural language processing.

FinSage: A Multi-aspect RAG System for Financial Filings Question Answering

Leveraging large language models in real-world settings often entails a need to utilize domain-specific data and tools in order to follow the complex regulations that need to be followed for acceptable use. Within financial sectors, modern enterprises increasingly rely on Retrieval-Augmented Generation (RAG) systems to address complex compliance requirements in financial document workflows. However, existing solutions struggle to account for the inherent heterogeneity of data (e.g., text, tables, diagrams) and evolving nature of regulatory standards used in financial filings, leading to compromised accuracy in critical information extraction. We propose the FinSage framework as a solution, utilizing a multi-aspect RAG framework tailored for regulatory compliance analysis in multi-modal financial documents. FinSage introduces three innovative components: (1) a multi-modal pre-processing pipeline that unifies diverse data formats and generates chunk-level metadata summaries, (2) a multi-path sparse-dense retrieval system augmented with query expansion (HyDE) and metadata-aware semantic search, and (3) a domain-specialized re-ranking module fine-tuned via Direct Preference Optimization (DPO) to prioritize compliance-critical content. Extensive experiments demonstrate that FinSage achieves an impressive recall of 92.51% on 75 expert-curated questions derived from surpasses the best baseline method on the FinanceBench question answering datasets by 24.06% in accuracy. Moreover, FinSage has been successfully deployed as financial question-answering agent in online meetings, where it has already served more than 1,200 people.

Polygon: Symbolic Reasoning for SQL using Conflict-Driven Under-Approximation Search

We present a novel symbolic reasoning engine for SQL which can efficiently generate an input $I$ for $n$ queries $P_1, \cdots, P_n$, such that their outputs on $I$ satisfy a given property (expressed in SMT). This is useful in different contexts, such as disproving equivalence of two SQL queries and disambiguating a set of queries. Our first idea is to reason about an under-approximation of each $P_i$ -- that is, a subset of $P_i$'s input-output behaviors. While it makes our approach both semantics-aware and lightweight, this idea alone is incomplete (as a fixed under-approximation might miss some behaviors of interest). Therefore, our second idea is to perform search over an expressive family of under-approximations (which collectively cover all program behaviors of interest), thereby making our approach complete. We have implemented these ideas in a tool, Polygon, and evaluated it on over 30,000 benchmarks across two tasks (namely, SQL equivalence refutation and query disambiguation). Our evaluation results show that Polygon significantly outperforms all prior techniques.

Resona: Improving Context Copying in Linear Recurrence Models with Retrieval

Recent shifts in the space of large language model (LLM) research have shown an increasing focus on novel architectures to compete with prototypical Transformer-based models that have long dominated this space. Linear recurrent models have proven to be a viable competitor due to their computational efficiency. However, such models still demonstrate a sizable gap compared to Transformers in terms of in-context learning among other tasks that require recalling information from a context. In this work, we introduce __Resona__, a simple and scalable framework for augmenting linear recurrent models with retrieval. __Resona__~augments models with the ability to integrate retrieved information from the provided input context, enabling tailored behavior to diverse task requirements. Experiments on a variety of linear recurrent models demonstrate that __Resona__-augmented models observe significant performance gains on a variety of synthetic as well as real-world natural language tasks, highlighting its ability to act as a general purpose method to improve the in-context learning and language modeling abilities of linear recurrent LLMs.

HyperFree: A Channel-adaptive and Tuning-free Foundation Model for Hyperspectral Remote Sensing Imagery

Advanced interpretation of hyperspectral remote sensing images benefits many precise Earth observation tasks. Recently, visual foundation models have promoted the remote sensing interpretation but concentrating on RGB and multispectral images. Due to the varied hyperspectral channels,existing foundation models would face image-by-image tuning situation, imposing great pressure on hardware and time resources. In this paper, we propose a tuning-free hyperspectral foundation model called HyperFree, by adapting the existing visual prompt engineering. To process varied channel numbers, we design a learned weight dictionary covering full-spectrum from $0.4 \sim 2.5 \, \mu\text{m}$, supporting to build the embedding layer dynamically. To make the prompt design more tractable, HyperFree can generate multiple semantic-aware masks for one prompt by treating feature distance as semantic-similarity. After pre-training HyperFree on constructed large-scale high-resolution hyperspectral images, HyperFree (1 prompt) has shown comparable results with specialized models (5 shots) on 5 tasks and 11 datasets.Code and dataset are accessible at https://rsidea.whu.edu.cn/hyperfree.htm.

Cross-platform Prediction of Depression Treatment Outcome Using Location Sensory Data on Smartphones

Currently, depression treatment relies on closely monitoring patients response to treatment and adjusting the treatment as needed. Using self-reported or physician-administrated questionnaires to monitor treatment response is, however, burdensome, costly and suffers from recall bias. In this paper, we explore using location sensory data collected passively on smartphones to predict treatment outcome. To address heterogeneous data collection on Android and iOS phones, the two predominant smartphone platforms, we explore using domain adaptation techniques to map their data to a common feature space, and then use the data jointly to train machine learning models. Our results show that this domain adaptation approach can lead to significantly better prediction than that with no domain adaptation. In addition, our results show that using location features and baseline self-reported questionnaire score can lead to F1 score up to 0.67, comparable to that obtained using periodic self-reported questionnaires, indicating that using location data is a promising direction for predicting depression treatment outcome.

Are Large Vision Language Models Good Game Players?

Large Vision Language Models (LVLMs) have demonstrated remarkable abilities in understanding and reasoning about both visual and textual information. However, existing evaluation methods for LVLMs, primarily based on benchmarks like Visual Question Answering and image captioning, often fail to capture the full scope of LVLMs' capabilities. These benchmarks are limited by issues such as inadequate assessment of detailed visual perception, data contamination, and a lack of focus on multi-turn reasoning. To address these challenges, we propose \method{}, a game-based evaluation framework designed to provide a comprehensive assessment of LVLMs' cognitive and reasoning skills in structured environments. \method{} uses a set of games to evaluate LVLMs on four core tasks: Perceiving, Question Answering, Rule Following, and End-to-End Playing, with each target task designed to assess specific abilities, including visual perception, reasoning, decision-making, etc. Based on this framework, we conduct extensive experiments that explore the limitations of current LVLMs, such as handling long structured outputs and perceiving detailed and dense elements. Code and data are publicly available at https://github.com/xinke-wang/LVLM-Playground.

MITracker: Multi-View Integration for Visual Object Tracking

Multi-view object tracking (MVOT) offers promising solutions to challenges such as occlusion and target loss, which are common in traditional single-view tracking. However, progress has been limited by the lack of comprehensive multi-view datasets and effective cross-view integration methods. To overcome these limitations, we compiled a Multi-View object Tracking (MVTrack) dataset of 234K high-quality annotated frames featuring 27 distinct objects across various scenes. In conjunction with this dataset, we introduce a novel MVOT method, Multi-View Integration Tracker (MITracker), to efficiently integrate multi-view object features and provide stable tracking outcomes. MITracker can track any object in video frames of arbitrary length from arbitrary viewpoints. The key advancements of our method over traditional single-view approaches come from two aspects: (1) MITracker transforms 2D image features into a 3D feature volume and compresses it into a bird's eye view (BEV) plane, facilitating inter-view information fusion; (2) we propose an attention mechanism that leverages geometric information from fused 3D feature volume to refine the tracking results at each view. MITracker outperforms existing methods on the MVTrack and GMTD datasets, achieving state-of-the-art performance. The code and the new dataset will be available at https://mii-laboratory.github.io/MITracker/.

Detecting Knowledge Boundary of Vision Large Language Models by Sampling-Based Inference

Despite the advancements made in Visual Large Language Models (VLLMs), like text Large Language Models (LLMs), they have limitations in addressing questions that require real-time information or are knowledge-intensive. Indiscriminately adopting Retrieval Augmented Generation (RAG) techniques is an effective yet expensive way to enable models to answer queries beyond their knowledge scopes. To mitigate the dependence on retrieval and simultaneously maintain, or even improve, the performance benefits provided by retrieval, we propose a method to detect the knowledge boundary of VLLMs, allowing for more efficient use of techniques like RAG. Specifically, we propose a method with two variants that fine-tunes a VLLM on an automatically constructed dataset for boundary identification. Experimental results on various types of Visual Question Answering datasets show that our method successfully depicts a VLLM's knowledge boundary based on which we are able to reduce indiscriminate retrieval while maintaining or improving the performance. In addition, we show that the knowledge boundary identified by our method for one VLLM can be used as a surrogate boundary for other VLLMs. Code will be released at https://github.com/Chord-Chen-30/VLLM-KnowledgeBoundary

HOpenCls: Training Hyperspectral Image Open-Set Classifiers in Their Living Environments

Hyperspectral image (HSI) open-set classification is critical for HSI classification models deployed in real-world environments, where classifiers must simultaneously classify known classes and reject unknown classes. Recent methods utilize auxiliary unknown classes data to improve classification performance. However, the auxiliary unknown classes data is strongly assumed to be completely separable from known classes and requires labor-intensive annotation. To address this limitation, this paper proposes a novel framework, HOpenCls, to leverage the unlabeled wild data-that is the mixture of known and unknown classes. Such wild data is abundant and can be collected freely during deploying classifiers in their living environments. The key insight is reformulating the open-set HSI classification with unlabeled wild data as a positive-unlabeled (PU) learning problem. Specifically, the multi-label strategy is introduced to bridge the PU learning and open-set HSI classification, and then the proposed gradient contraction and gradient expansion module to make this PU learning problem tractable from the observation of abnormal gradient weights associated with wild data. Extensive experiment results demonstrate that incorporating wild data has the potential to significantly enhance open-set HSI classification in complex real-world scenarios.