A Training-Free, Alignment-Free Approach to Corporate Intelligence: Application to SEC Filings
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Abstract (arXiv)
High-dimensional dense text embeddings and large language models face real obstacles in financial-disclosure analysis: context-window limits, hallucination risk, high computational cost, and the arbitrary rotation of vector spaces across independently trained models. We present a training-free, alignment-free framework for corporate intelligence built on deterministic sparse seed vectors. Hashing word strings into a fixed high-dimensional basis places all documents and all temporal epochs in a common coordinate system by construction, removing any need for training or alignment. Accumulating these seed vectors across sentence contexts yields corpus-specific semantic signatures that compose linearly, supporting sub-second document comparison, issuer fingerprinting, tracking of how an issuer's vocabulary shifts between filings, and thematic sentence extraction, all on ordinary CPU hardware. Demonstrating the approach on a multi-year corpus of SEC filings (10-K, 10-Q, 8-K), we show how material corporate events, among them Boeing's 737 MAX crisis, Intel's supply-chain disruptions, and Bunge's acquisition of Viterra, emerge as distinct, interpretable semantic profiles, each traceable to the exact source sentences that produced it, with no domain-specific training and no LLM inference.
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References · 9
- 2019Sentence-BERT: Sentence Embeddings using Siamese BERT-Networkscited by 9,170
- 2013Efficient Estimation of Word Representations in Vector Spacecited by 4,375
- 2013Distributed Representations of Words and Phrases and their Compositionalitycited by 3,474
- 2021TAT-QA: A Question Answering Benchmark on a Hybrid of Tabular and Textual Content in Financecited by 408
- 2016Diachronic Word Embeddings Reveal Statistical Laws of Semantic Changecited by 221
- 2024Financial Report Chunking for Effective Retrieval Augmented Generationcited by 46
- 2017Dynamic Word Embeddings for Evolving Semantic Discoverycited by 38
- 2017Random vector generation of a semantic spacecited by 1
- 2017Semantic Technology-Assisted Review (STAR) Document analysis and monitoring using random vectorscited by 1
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