09798eb27a
Ensures text<->gold agreement for the text->triple dataset: - fetch: newest full prospectus book + later 497 supplements (time-aligned with the current N-CEN gold; fixes stale 'largest book' picking 2-5yr-old filings) - grounding: fast alias matcher (name present, variant-tolerant) AND an LLM role-check (llm_extract.py match mode, via local Ollama or remote vLLM server) that verifies the entity plays that ROLE -- catches right-name/wrong-role cases a lexical matcher over-keeps. Validated with a strong model; ~93% of gold names are present once granularity+currency are fixed. - llm_extract.py: extract (baseline) + match (grounding) modes, sliding-window with retrieval pre-filter, claim dedup, retry, ollama/vllm backends - build_rdf_dataset.py: --grounding alias|llm|name|context|none, whole-trust samples now filtered, MIN_PROSE stub guard Co-Authored-By: Claude Opus 4.8 (1M context) <noreply@anthropic.com>
495 lines
21 KiB
Python
495 lines
21 KiB
Python
#!/usr/bin/env python3
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"""
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LLM extraction baseline for the SEC prospectus -> RDF triple dataset.
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A strong open-source instruct model (default qwen3.6:35b via local Ollama) reads
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each fund's prospectus segment together with the target ontology and extracts the
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service-provider triples. This serves two purposes for the thesis:
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1. STRONG BASELINE: the prompted model's triples, scored against the N-CEN gold
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with score_baseline.py, measure how well a state-of-the-art model does the
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task without finetuning -- the comparison point for the four finetuned models.
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2. SEMANTIC GROUNDING: whether a gold triple is actually extractable from the
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text is a semantic question that lexical substring/keyword matching cannot
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answer (e.g. "John Hancock" matches the fund heading, not the administrator
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role; "administration services are provided by X" is a valid mention no fixed
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keyword catches). What the strong model extracts from the segment is therefore
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a far better grounding signal than the lexical flag.
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The model is asked to extract ONLY relations present in the supplied ontology and
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to copy entity names verbatim from the text, so that a fair triple-level
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comparison against the gold is possible.
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Usage:
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# all (or a sample of) the dataset
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python llm_extract.py --in data/rdf_poc/test.jsonl --out data/rdf_poc/preds_qwen.jsonl
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python llm_extract.py --in data/rdf_poc/samples.jsonl --limit 50 --model qwen3.6:35b
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# then score:
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python score_baseline.py model --pred data/rdf_poc/preds_qwen.jsonl
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"""
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import argparse
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import json
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import re
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import time
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import urllib.request
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from pathlib import Path
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OLLAMA_URL = "http://localhost:11434/api/chat"
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# Backend config (set in main()). Two backends are supported:
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# "ollama" -> local Ollama (/api/chat), per-request num_ctx
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# "vllm" -> remote vLLM OpenAI-compatible server (/v1/chat/completions),
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# fixed served context; much higher throughput / stronger model
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# (e.g. silicon.fhgr.ch:7080 serving qwen3.5-122b).
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BACKEND = "ollama"
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VLLM_URL = "http://silicon.fhgr.ch:7080/v1/chat/completions"
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API_KEY = ""
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SYSTEM = (
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"You are an information-extraction engine. You read a U.S. mutual-fund "
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"prospectus/SAI excerpt and extract relationships between named entities as "
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"RDF-style triples. You output ONLY valid JSON, no commentary."
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)
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# The instruction is deliberately strict: only ontology relations, names copied
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# verbatim, and an explicit 'not stated' contract so the model does NOT invent
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# service providers that the text does not actually name (the whole point of the
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# grounding test).
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PROMPT_TMPL = """\
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Extract relationships for the fund described in the TEXT below.
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Allowed relations (subject -> predicate -> object type), from the ontology:
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{ontology}
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Rules:
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- Extract a triple ONLY if the TEXT explicitly states that relationship for this
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fund. Do NOT use outside knowledge. If a relation is not stated, omit it.
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- Copy each entity name VERBATIM as it appears in the TEXT (full legal name).
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- Use only the predicates listed above.
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- Output JSON of the form:
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{{"triples": [{{"subject": "...", "predicate": "...", "object": "..."}}, ...]}}
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TEXT:
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\"\"\"
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{text}
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\"\"\"
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"""
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MAX_TEXT_CHARS = 1_200_000 # ~300k tokens; effectively the whole single book
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# (set lower only to bound latency; too-low truncates
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# the SAI section where service providers are named)
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def ollama_chat(model, system, prompt, timeout=600, num_ctx=32768):
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"""Send a chat request to the active backend; return the message content.
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Name kept for backward compatibility with existing call sites.
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"""
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messages = [{"role": "system", "content": system},
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{"role": "user", "content": prompt}]
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if BACKEND == "vllm":
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body = {
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"model": model,
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"messages": messages,
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"temperature": 0,
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# Reasoning model: it spends several thousand tokens "thinking" before
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# emitting JSON. Too small a budget -> it never reaches the answer and
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# returns empty content. Keep this generous.
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"max_tokens": 8000,
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"response_format": {"type": "json_object"},
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}
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headers = {"Content-Type": "application/json"}
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if API_KEY:
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headers["Authorization"] = f"Bearer {API_KEY}"
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req = urllib.request.Request(
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VLLM_URL, data=json.dumps(body).encode("utf-8"), headers=headers)
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with urllib.request.urlopen(req, timeout=timeout) as r:
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resp = json.loads(r.read().decode("utf-8", "replace"))
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# reasoning models can return content=null (spent budget "thinking");
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# fall back to an empty string so callers' parsers degrade gracefully.
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return resp["choices"][0]["message"].get("content") or ""
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# default: ollama
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body = {
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"model": model,
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"messages": messages,
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"stream": False,
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"format": "json", # ask Ollama to constrain to JSON
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"options": {"temperature": 0, "num_ctx": num_ctx},
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}
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req = urllib.request.Request(
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OLLAMA_URL, data=json.dumps(body).encode("utf-8"),
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headers={"Content-Type": "application/json"})
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with urllib.request.urlopen(req, timeout=timeout) as r:
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resp = json.loads(r.read().decode("utf-8", "replace"))
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return resp["message"]["content"]
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def parse_triples(raw):
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"""Parse the model's JSON; tolerate stray text/code-fences around it."""
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s = raw.strip()
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s = re.sub(r"^```(?:json)?|```$", "", s, flags=re.MULTILINE).strip()
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try:
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obj = json.loads(s)
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except Exception:
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m = re.search(r"\{.*\}", s, re.S)
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if not m:
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return []
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try:
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obj = json.loads(m.group(0))
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except Exception:
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return []
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out = []
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for t in obj.get("triples", []):
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s_, p_, o_ = t.get("subject"), t.get("predicate"), t.get("object")
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if s_ and p_ and o_:
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out.append({"s": s_, "p": p_, "o": o_})
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return out
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def ontology_str(ont):
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lines = []
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for st, preds in ont.items():
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for p, ots in preds.items():
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lines.append(f" {st} -> {p} -> {', '.join(ots)}")
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return "\n".join(lines)
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def _dedup(triples):
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seen, out = set(), []
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for t in triples:
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k = (t["p"].lower(), t["o"].strip().lower())
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if k not in seen:
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seen.add(k)
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out.append(t)
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return out
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def extract_windowed(model, ontology, text, win_chars, overlap, num_ctx, timeout=600):
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"""Slide a window over a long document, extract per window, union the results.
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A single huge-context call over a 500KB+ book is slow and suffers from
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'lost in the middle'; instead we pass overlapping windows (each small enough
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for fast inference and a modest context) and take the de-duplicated union of
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the triples found in each. Service-provider facts that live only in the SAI
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section near the end are thus reliably seen by some window. Overlap keeps a
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provider sentence that straddles a window boundary intact in at least one
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window.
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"""
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step = max(1, win_chars - overlap)
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windows = [text[i:i + win_chars] for i in range(0, max(1, len(text)), step)]
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all_triples, n_win = [], 0
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for w in windows:
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if len(w.strip()) < 200:
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continue
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prompt = PROMPT_TMPL.format(ontology=ontology, text=w)
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ctx = min(num_ctx, max(8192, int(len(prompt) / 3.2) + 2048))
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try:
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raw = ollama_chat(model, SYSTEM, prompt, timeout=timeout, num_ctx=ctx)
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all_triples.extend(parse_triples(raw))
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except Exception as e:
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print(f" window error: {e}")
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n_win += 1
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return _dedup(all_triples), n_win
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# --------------------------------------------------------------------------- #
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# match mode: ask the LLM whether each GOLD triple is supported by the text.
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# This sidesteps the surface-form problem entirely: the model decides semantic
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# equivalence (e.g. "BNY Mellon" == "The Bank of New York Mellon", "the
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# Administrator" anaphora) which no fuzzy string rule can capture.
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# --------------------------------------------------------------------------- #
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MATCH_SYSTEM = (
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"You verify facts against a source text. Given a U.S. mutual-fund "
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"prospectus/SAI excerpt and a list of candidate (entity, role, fund) claims, "
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"you decide for EACH claim whether the excerpt supports it. Treat name "
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"variants, abbreviations and anaphora as the same entity (e.g. 'BNY Mellon' "
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"= 'The Bank of New York Mellon'). Output ONLY valid JSON."
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)
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MATCH_PROMPT = """\
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For each numbered CLAIM below, decide whether the TEXT supports it for the fund.
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A claim is supported only if the TEXT states that the named entity plays that
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role (advisedBy=investment adviser, subAdvisedBy=sub-adviser,
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transferAgent=transfer agent, custodian=custodian, administrator=administrator,
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underwrittenBy=distributor/underwriter, seriesOf=the fund is a series of that
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trust). Use ONLY the TEXT; treat name variants/abbreviations as equal.
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Output JSON: {{"results": [{{"id": <n>, "supported": true|false}}, ...]}} with one
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entry per claim id.
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CLAIMS:
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{claims}
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TEXT:
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\"\"\"
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{text}
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\"\"\"
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"""
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def _claim_lines(claims):
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return "\n".join(
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f' {i}. entity="{c["o"]}" role={c["p"]}' for i, c in enumerate(claims))
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def parse_results(raw, n):
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"""Parse {"results":[{id,supported}]} -> list[bool] of length n (default False)."""
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out = [False] * n
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s = re.sub(r"^```(?:json)?|```$", "", raw.strip(), flags=re.MULTILINE).strip()
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try:
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obj = json.loads(s)
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except Exception:
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m = re.search(r"\{.*\}", s, re.S)
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if not m:
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return out
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try:
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obj = json.loads(m.group(0))
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except Exception:
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return out
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for r in obj.get("results", []):
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try:
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i = int(r["id"])
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except (KeyError, ValueError, TypeError):
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continue
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if 0 <= i < n:
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out[i] = bool(r.get("supported"))
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return out
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# Relation keywords that mark a window as possibly relevant to service-provider
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# claims. A window with none of these AND no gold-name token cannot support any
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# claim, so it is skipped (retrieval pre-filter) -- this avoids sending the bulk
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# of a multi-MB book (holdings tables, risk boilerplate) to the LLM.
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_RELEVANCE_KW = ("custodian", "custody", "adviser", "advisor", "sub-advis",
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"transfer agent", "administrat", "distributor", "underwriter",
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"serves as", "acts as", "series of", "a series")
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_STOPTOK = {"the", "inc", "llc", "lp", "company", "trust", "fund", "funds", "of",
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"and", "group", "capital", "asset", "management", "services", "co",
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"national", "association", "bank"}
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def _name_tokens(label):
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return [w for w in re.sub(r"[^a-z0-9 ]", " ", (label or "").lower()).split()
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if w not in _STOPTOK and len(w) >= 4]
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def _window_relevant(w_low, name_tokens):
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if any(k in w_low for k in _RELEVANCE_KW):
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return True
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return any(tok in w_low for tok in name_tokens)
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def match_windowed(model, gold_triples, text, win_chars, overlap, num_ctx, timeout=600):
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"""For each gold triple, is it supported somewhere in the text?
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Retrieval pre-filter: only windows that contain a relation keyword or a
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distinctive token of some gold object name are sent to the LLM (the rest of a
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multi-MB book -- holdings tables, risk sections -- cannot support a
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service-provider claim). All gold triples are checked together per kept window
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(one call/window); a triple counts as grounded if ANY window supports it.
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Returns (list[bool], n_windows_sent).
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"""
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claims = _claim_lines(gold_triples)
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name_tokens = set()
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for t in gold_triples:
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name_tokens.update(_name_tokens(t.get("o", "")))
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step = max(1, win_chars - overlap)
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windows = [text[i:i + win_chars] for i in range(0, max(1, len(text)), step)]
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supported = [False] * len(gold_triples)
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n_win = n_fail = 0
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for w in windows:
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if len(w.strip()) < 200:
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continue
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if not _window_relevant(w.lower(), name_tokens):
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continue # retrieval pre-filter: no provider signal in this window
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prompt = MATCH_PROMPT.format(claims=claims, text=w)
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ctx = min(num_ctx, max(8192, int(len(prompt) / 3.2) + 2048))
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ok = False
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for attempt in range(2): # one retry on transient failure
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try:
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raw = ollama_chat(model, MATCH_SYSTEM, prompt, timeout=timeout, num_ctx=ctx)
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res = parse_results(raw, len(gold_triples))
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supported = [a or b for a, b in zip(supported, res)]
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ok = True
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break
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except Exception as e:
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if attempt == 0:
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time.sleep(3)
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else:
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print(f" window error: {e}")
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if not ok:
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n_fail += 1
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n_win += 1
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# early exit: once every claim is supported, no need to scan further
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if all(supported):
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break
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# If windows failed, the 'False' entries are unreliable (could be missed calls,
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# not true absences). Signal this so the caller does not record bogus 0s.
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return supported, n_win, n_fail
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def _match_one(args, r):
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"""Match all gold triples of one sample; return the annotated record."""
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text = r["input_text"][:MAX_TEXT_CHARS]
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gold = r.get("target_triples", [])
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if not gold:
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return {"sample_id": r.get("sample_id"), "cik": r["cik"],
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"fund": r.get("fund"), "n_windows": 0, "triples": []}
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# DEDUP claims: all funds of a trust share the same providers, so e.g. 540
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# triples collapse to ~13 distinct (predicate, name) pairs. Matching the
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# distinct set keeps each LLM call small (a long claim list overflows the
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# answer's max_tokens and yields truncated JSON -> all False) and fast; the
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# per-distinct verdict is then mapped back to every triple.
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distinct, key_of = [], []
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seen = {}
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for t in gold:
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k = (t["p"], (t.get("o") or "").strip().lower())
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if k not in seen:
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seen[k] = len(distinct)
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distinct.append({"p": t["p"], "o": t.get("o")})
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key_of.append(seen[k])
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n_fail = 0
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try:
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if args.window and len(text) > args.window:
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d_sup, n_win, n_fail = match_windowed(
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args.model, distinct, text, args.window, args.overlap, args.num_ctx)
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else:
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prompt = MATCH_PROMPT.format(claims=_claim_lines(distinct), text=text)
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ctx = min(args.num_ctx, max(8192, int(len(prompt) / 3.2) + 2048))
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raw = ollama_chat(args.model, MATCH_SYSTEM, prompt, num_ctx=ctx)
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d_sup = parse_results(raw, len(distinct)); n_win = 1
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except Exception as e:
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print(f" [{r.get('sample_id')}] ERROR: {e}")
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d_sup = [False] * len(distinct); n_win = 0; n_fail = 1
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ann = [{**t, "llm_grounded": bool(d_sup[key_of[i]])} for i, t in enumerate(gold)]
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return {"sample_id": r.get("sample_id"), "cik": r["cik"], "fund": r.get("fund"),
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"n_windows": n_win, "n_failed_windows": n_fail, "n_distinct": len(distinct),
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"ok": n_fail == 0, "triples": ann}
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def run_match(args):
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"""LLM match mode: annotate each gold triple with llm_grounded (semantic).
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Samples are processed concurrently (--workers) to exploit the vLLM server's
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parallel request handling (max-num-seqs); each sample's windows still run
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sequentially within its worker. Results are written as they complete.
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"""
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from concurrent.futures import ThreadPoolExecutor, as_completed
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rows = [json.loads(l) for l in open(args.inp, encoding="utf-8")]
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if args.limit:
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rows = rows[:args.limit]
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done = tot_g = tot_t = 0
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t0 = time.time()
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workers = max(1, args.workers)
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with open(args.out, "w", encoding="utf-8") as out, \
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ThreadPoolExecutor(max_workers=workers) as ex:
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futs = {ex.submit(_match_one, args, r): r for r in rows}
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for fut in as_completed(futs):
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rec = fut.result()
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ng = sum(t.get("llm_grounded") for t in rec["triples"])
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tot_g += ng; tot_t += len(rec["triples"])
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out.write(json.dumps(rec, ensure_ascii=False) + "\n"); out.flush()
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done += 1
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dt = time.time() - t0
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print(f"[{done}/{len(rows)}] {rec.get('fund') or rec['cik']:.38s} "
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f"grounded {ng}/{len(rec['triples'])} "
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f"({dt/done:.1f}s/sample avg, {workers}w)")
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print(f"\nmatched {done} samples -> {args.out} "
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f"(LLM-grounded {tot_g}/{tot_t} = {100*tot_g/max(1,tot_t):.0f}%)")
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def run_extract(args):
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rows = [json.loads(l) for l in open(args.inp, encoding="utf-8")]
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if args.limit:
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rows = rows[:args.limit]
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done = 0
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t0 = time.time()
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with open(args.out, "w", encoding="utf-8") as out:
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for r in rows:
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text = r["input_text"][:MAX_TEXT_CHARS]
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ont = ontology_str(r["ontology"])
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n_win = 1
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try:
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if args.window and len(text) > args.window:
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# long document -> sliding-window extraction + union
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triples, n_win = extract_windowed(
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args.model, ont, text, args.window, args.overlap, args.num_ctx)
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else:
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prompt = PROMPT_TMPL.format(ontology=ont, text=text)
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ctx = min(args.num_ctx, max(8192, int(len(prompt) / 3.2) + 2048))
|
|
triples = _dedup(parse_triples(
|
|
ollama_chat(args.model, SYSTEM, prompt, num_ctx=ctx)))
|
|
except Exception as e:
|
|
print(f" [{r.get('sample_id')}] ERROR: {e}")
|
|
triples = []
|
|
rec = {"sample_id": r.get("sample_id"), "cik": r["cik"],
|
|
"fund": r.get("fund"), "n_windows": n_win, "triples": triples}
|
|
out.write(json.dumps(rec, ensure_ascii=False) + "\n")
|
|
out.flush()
|
|
done += 1
|
|
dt = time.time() - t0
|
|
wtag = f" [{n_win}w]" if n_win > 1 else ""
|
|
print(f"[{done}/{len(rows)}] {r.get('fund') or r['cik']:.40s} "
|
|
f"-> {len(triples)} triples{wtag} ({dt/done:.1f}s/sample)")
|
|
print(f"\nwrote {done} predictions -> {args.out} ({args.model})")
|
|
|
|
|
|
def main():
|
|
global BACKEND, VLLM_URL, API_KEY
|
|
ap = argparse.ArgumentParser(description=__doc__)
|
|
ap.add_argument("--mode", choices=["extract", "match"], default="extract",
|
|
help="extract = free triple extraction (baseline); "
|
|
"match = verify each GOLD triple against the text "
|
|
"(semantic grounding flag llm_grounded)")
|
|
ap.add_argument("--in", dest="inp", default="data/rdf_poc/test.jsonl")
|
|
ap.add_argument("--out", dest="out", default="data/rdf_poc/preds_qwen.jsonl")
|
|
ap.add_argument("--backend", choices=["ollama", "vllm"], default="ollama",
|
|
help="ollama = local Mac; vllm = remote OpenAI-compatible "
|
|
"server (stronger model, higher throughput)")
|
|
ap.add_argument("--model", default=None,
|
|
help="model id; defaults to qwen3.6:35b (ollama) or "
|
|
"qwen3.5-122b-a10b-fp8 (vllm)")
|
|
ap.add_argument("--vllm-url", default=VLLM_URL)
|
|
ap.add_argument("--api-key", default="")
|
|
ap.add_argument("--limit", type=int, default=0)
|
|
ap.add_argument("--num-ctx", type=int, default=32768)
|
|
ap.add_argument("--window", type=int, default=0,
|
|
help="sliding-window size in chars; texts longer than this are "
|
|
"processed window-by-window and unioned. 0 = auto: a "
|
|
"server-safe size derived from --num-ctx (vllm) or ~600 KB "
|
|
"(ollama, where one big call is faster).")
|
|
ap.add_argument("--overlap", type=int, default=8000,
|
|
help="overlap between consecutive windows in chars")
|
|
ap.add_argument("--workers", type=int, default=1,
|
|
help="concurrent samples (vllm server handles parallel "
|
|
"requests; keep <= the server's max-num-seqs, e.g. 8-16)")
|
|
args = ap.parse_args()
|
|
|
|
BACKEND = args.backend
|
|
VLLM_URL = args.vllm_url
|
|
API_KEY = args.api_key
|
|
if not args.model:
|
|
args.model = "qwen3.5-122b-a10b-fp8" if BACKEND == "vllm" else "qwen3.6:35b"
|
|
if not args.window:
|
|
if BACKEND == "vllm":
|
|
# Empirically (128k-context reasoning server) ~300 KB / ~93k tokens is
|
|
# the reliable ceiling per call: above it the model spends its whole
|
|
# output budget "thinking" and returns empty (finish_reason=length) or
|
|
# times out. 280 KB leaves headroom and yields 1-3 windows for a
|
|
# typical book while staying fast (~80s/call).
|
|
args.window = 280000
|
|
else:
|
|
args.window = 600000 # ollama: one big local call beats many windows
|
|
|
|
if args.mode == "match":
|
|
run_match(args)
|
|
else:
|
|
run_extract(args)
|
|
|
|
|
|
if __name__ == "__main__":
|
|
main()
|