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Autonomous Financial Research Agent

Live Demo

• Frontend: https://autonomous-financial-research-agent.vercel.app
• Backend API: https://autonomous-financial-research-agent.onrender.com

A production-grade autonomous agent that gathers and synthesizes financial data using a ReAct (Reason + Act) loop with semantic memory.

Quick Start

Prerequisites

• Python 3.11+ and pip
• Node.js 20+ and npm
• A free Groq API key (default LLM provider)
• A free NewsAPI key

1. Install

git clone https://github.com/unnita1235-code/Autonomous-Financial-Research-Agent
cd Autonomous-Financial-Research-Agent
pip install -r requirements.txt

2. Configure

cp .env.example .env
# Edit .env — minimum required: GROQ_API_KEY + NEWS_API_KEY

3. Run with Docker (recommended)

docker-compose up

4. Or run locally

# Backend (terminal 1)
python database/migrate.py   # optional — needs DATABASE_URL
uvicorn app.main:app --reload --port 8000

# Frontend (terminal 2)
cd frontend && npm install && npm run dev

5. Verify

bash verify_all.sh

Honest performance metrics

Metric	Actual
Avg pipeline duration	130–180 seconds
Agent stop condition	max_iter (8) in most cases; "done" when data is sufficient
Synthesis quality	70–81% depending on API availability
Cold start (Render free tier)	~60–90 seconds
LLM providers supported	Groq (default), OpenAI, Anthropic, Gemini
Embedding backend	TF-IDF (free tier default), sentence-transformers or OpenAI (opt-in)

Architecture

graph TD
    User([User Query]) --> QA[Query Analyzer]
    QA --> DL[Disambiguation Layer]
    DL --> Agent{ReAct Agent Loop}
    
    subgraph "Reasoning Core"
        Agent --> Thought[Thought]
        Thought --> Action[Action]
        Action --> Tool[Tool Dispatch]
        Tool --> Observation[Observation]
        Observation --> Thought
    end
    
    subgraph "Memory Systems"
        Agent <--> WM[Working Memory - L1]
        Agent <--> SM[(Semantic Memory - L2)]
    end
    
    Agent --> Synthesis[Synthesis Engine]
    Synthesis --> Resolver[Conflict Resolver]
    Resolver --> Report[Final Report]
    Report --> Eval[Evaluation Framework]
    Eval --> Dash[HTML Dashboard]

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Core Modules

Module	Purpose	Key Features
agent/	Reasoning Intelligence	Query Analysis, Ticker Disambiguation, Circuit Breakers
synthesis/	Data Harmonization	Priority-based conflict resolution (SEC > Transcript > News)
security/	System Hardening	PII Redaction, Prompt Injection Shield
evaluation/	Quality Assurance	20+ Automated Metrics, HTML Dashboard Generation
memory/	Knowledge Retention	FAISS-backed Semantic Memory (Layer 2)
tools/	Data Ingestion	12+ High-Fidelity tool implementations

High-Fidelity Tooling Suite

The agent utilizes a registry of specialized tools for deep financial analysis:

• SEC EDGAR: Direct extraction of facts from 10-K, 10-Q, and 8-K filings.
• Transcripts: Processing and summarization of earnings call transcripts.
• News & Sentiment: Real-time news aggregation with VADER-based sentiment scoring.
• Financial Data API: Quantitative metrics retrieval (Revenue, EPS, Multiples).
• Peer Comparison: Automated benchmarking against industry cohorts.
• Fact Checker: Cross-references claims against known data points.
• Calculation Engine: Deterministic arithmetic to prevent LLM hallucination.

---

Memory System — How It Works

The agent uses a three-layer memory architecture to avoid redundant research across sessions:

Layer 1: Working Memory (per-session)

• A Python list that accumulates tool results during a single agent run.
• Injected into the LLM prompt each iteration so the model knows what data it already has.
• Volatile — cleared when the session ends.

Layer 2: Semantic Memory (persistent)

• A FAISS vector index that stores embeddings of past tool results and report chunks.
• Enables similarity search across all past research sessions.
• Survives restarts — persisted to memory/faiss_index.bin + memory/metadata.json.

Layer 3: Episodic Memory (JSON-persisted)

• A JSON-persisted episodic store that records structured episodes from each research run, tracking tool reliability, strategy effectiveness, and error patterns to improve future sessions.

How the three layers interact

Session Start
    │
    ▼
┌──────────────────────────────────────────────┐
│  1. RETRIEVE from Semantic Memory (Layer 2)  │
│     query → embed → FAISS search → top-k     │
│     Inject "RELEVANT PAST RESEARCH" section  │
└──────────────────┬───────────────────────────┘
                   │
    ┌──────────────▼──────────────┐
    │  2. ReAct Loop iterations   │
    │     Working Memory (Layer 1)│◀──┐
    │     accumulates tool results│   │
    └──────────────┬──────────────┘   │
                   │                  │
    ┌──────────────▼──────────────┐   │
    │  3. STORE after each tool   │   │
    │     Tool result → chunk →   │───┘
    │     embed → FAISS insert    │
    │     Also into Layer 2       │
    └──────────────┬──────────────┘
                   │
    ┌──────────────▼──────────────┐
    │  4. SAVE on session end     │
    │     Persist FAISS + metadata│
    └─────────────────────────────┘

Embedding Model

• Model: text-embedding-3-small (1536 dimensions)
• Cost: $0.02 per 1M tokens — cheapest production-grade option
• Normalisation: All vectors are L2-normalised so that FAISS inner-product search produces cosine similarity scores

FAISS Index Type

• IndexFlatIP (flat inner product)
• With L2-normalised vectors, dot(a, b) = cosine(a, b) — exact cosine similarity
• Brute-force search is fast enough for < 100k vectors (sub-10ms)
• No approximate indexes (HNSW, IVF) needed at this scale

Chunking Strategy

• Max tokens: 400 per chunk
• Overlap: 50 tokens between consecutive chunks
• Tokeniser: tiktoken with cl100k_base encoding
• Rationale: Overlap preserves context at boundaries (e.g., a revenue figure mentioned in one sentence with its breakdown in the next)

Score Threshold

• Results with cosine similarity < 0.75 are filtered out
• Empirically tuned: scores below 0.75 are typically topically unrelated in financial text
• Scores 0.85+ are usually direct semantic matches

Metadata Schema

Each stored chunk carries parallel metadata:

{
  "source": "sec_edgar",
  "ticker": "AAPL",
  "period": "2024-Q3",
  "type": "revenue",
  "chunk_text": "Apple Q3 2024 revenue was $85.8B..."
}

---

Setup

Requirements

Python 3.11+

Install Dependencies

pip install openai httpx beautifulsoup4 faiss-cpu tiktoken numpy

For Anthropic LLM support (optional):

pip install anthropic

Environment Variables

Create a .env file based on .env.example:

# API Keys
OPENAI_API_KEY="sk-..."
ANTHROPIC_API_KEY="sk-ant-..."
TAVILY_API_KEY="tvly-..."
DATABASE_URL="postgresql://user:pass@host:port/db"

# Configuration
LLM_PROVIDER="openai" # openai, anthropic, gemini, groq
LLM_MODEL="gpt-4o"
ALLOWED_ORIGINS="http://localhost:3000"

Security & Compliance

• PII Redaction: All tool outputs are scrubbed for sensitive data before memory storage.
• Prompt Injection Shield: Incoming queries are scanned for malicious heuristic patterns.
• Audit Logs: Every API interaction is logged with IP tracking for security auditing.
• Rate Limiting: Built-in protection against DDoS and API abuse.

Usage

Run the Agent

from tools import TOOL_REGISTRY
from agents import run_agent, LLMClient
from memory import VectorStore

llm = LLMClient()
store = VectorStore()  # loads or creates memory/faiss_index.bin

result = run_agent(
    query="Analyze Apple Q3 2024 performance",
    tool_registry=TOOL_REGISTRY,
    llm_client=llm,
    vector_store=store,  # enables semantic memory
)

Run Tests

# Full test suite (requires OPENAI_API_KEY)
python test_memory.py

# Agent integration test
python test_agent.py

Project Structure

├── agent/
│   ├── circuit_breaker.py
│   ├── core.py
│   ├── disambiguation.py
│   ├── error_handler.py
│   ├── fallback_chains.py
│   └── query_analyzer.py
├── agents/
│   ├── llm_client.py
│   ├── prompts.py
│   └── react_loop.py
├── tools/
│   ├── calculation_engine.py
│   ├── company_profile.py
│   ├── fact_checker.py
│   ├── financial_data_api.py
│   ├── news_sentiment.py
│   ├── news_tool.py
│   ├── peer_comparison.py
│   ├── report_generator.py
│   ├── sec_tool.py
│   ├── transcript_tool.py
│   ├── vector_db_search.py
│   └── web_search.py
├── synthesis/
│   ├── conflict_detector.py
│   ├── engine.py
│   ├── extractor.py
│   ├── normalizer.py
│   ├── resolver.py
│   └── narrative.py
├── evaluation/
│   ├── dashboard.py
│   └── metrics.py
├── memory/
│   ├── chunker.py
│   ├── embedder.py
│   ├── episodic.py
│   └── vector_store.py
└── README.md