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This document outlines an open source architecture for a generative AI chatbot designed to process financial documents, utilizing techniques such as Retrieval Augmented Generation (RAG), Graph RAG, and a multi-agent approach. It details the processes for document ingestion, content analysis, embedding generation, and user interaction, emphasizing the use of various open source tools and frameworks. The architecture aims to ensure scalability, accuracy, and compliance while facilitating insightful responses based on financial document analysis.

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Skander Dinari
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5 views8 pages

Examplee

This document outlines an open source architecture for a generative AI chatbot designed to process financial documents, utilizing techniques such as Retrieval Augmented Generation (RAG), Graph RAG, and a multi-agent approach. It details the processes for document ingestion, content analysis, embedding generation, and user interaction, emphasizing the use of various open source tools and frameworks. The architecture aims to ensure scalability, accuracy, and compliance while facilitating insightful responses based on financial document analysis.

Uploaded by

Skander Dinari
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
You are on page 1/ 8

Open Source Architecture for a Financial Document

Chatbot
Your Name
February 17, 2025

Contents
1 Introduction 3

2 Document Ingestion, Preprocessing, and Multimodal Handling 3


2.1 PDF and Image Input . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
2.2 Data Cleaning and Structuring . . . . . . . . . . . . . . . . . . . . . . . . . 3

3 Content Analysis, Embedding Generation, and Graph RAG 4


3.1 Embedding Generation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
3.2 Graph RAG Setup . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
3.3 Vector Store and Indexing . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

4 Multi-Agent Architecture for Query Processing and RAG 4


4.1 Query Understanding and Pre-Processing Agent . . . . . . . . . . . . . . . . 4
4.2 RAG Agent with Graph Integration . . . . . . . . . . . . . . . . . . . . . . . 5
4.3 Multi-Agent Orchestration . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

5 Generative Response Creation with Pre-Trained Models 5


5.1 Generative Model and Prompting . . . . . . . . . . . . . . . . . . . . . . . . 5
5.2 Multimodal Response (Optional) . . . . . . . . . . . . . . . . . . . . . . . . 5

6 Integration, Deployment, and User Interaction 6


6.1 Backend Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
6.2 Frontend Interface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
6.3 Security and Compliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

7 Testing, Monitoring, and Continuous Improvement 6


7.1 Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
7.2 Monitoring & Logging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
7.3 Iterative Improvements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

8 Summary 7

1
9 Conclusion 7

2
1 Introduction
This document describes an open source architecture for building a generative AI chatbot
that processes financial PDFs (both text-based and scanned) and answers questions based
on their content. The design integrates:

• Retrieval Augmented Generation (RAG)

• Graph RAG

• Multi-Agent Approach

• Pre-trained Models

• Multimodal Support

2 Document Ingestion, Preprocessing, and Multimodal


Handling
2.1 PDF and Image Input
• File Upload Interface: Create a web interface using frameworks such as Flask or
Django to allow users to upload PDFs.

• PDF Parsing:

– Text-Based PDFs: Use open source libraries such as PDFMiner or PyMuPDF to


extract text.
– Scanned PDFs: Use Tesseract OCR (with Python wrapper pytesseract) to
extract text from images.

• Multimodal Extraction: For financial charts or images, use OpenCV for pre-processing
and OpenAI’s CLIP model (via Hugging Face) to generate joint image-text embeddings.

2.2 Data Cleaning and Structuring


• Text Cleaning: Utilize Python libraries (e.g., regex, NLTK) to remove noise, header-
s/footers, and artifacts.

• Document Segmentation: Split text into pages, paragraphs, or logical sections.

• Graph Construction: Use NLP libraries such as spaCy for entity extraction (dates,
amounts, financial terms) and NetworkX to build a knowledge graph capturing entity
relationships.

3
3 Content Analysis, Embedding Generation, and Graph
RAG
3.1 Embedding Generation
• Text Embeddings: Use open source models from Hugging Face Transformers (e.g.,
BERT, Sentence Transformers) to generate embeddings.

• Multimodal Embeddings: Use CLIP (available via Hugging Face) to generate em-
beddings for images alongside text.

3.2 Graph RAG Setup


• Entity Extraction & Graph Building:

– Use spaCy to extract entities.


– Build a knowledge graph using NetworkX to represent relationships (e.g., linking
financial metrics to report dates).

• Graph Embedding: Explore open source graph embedding libraries such as PyTorch
Geometric or DGL to represent the graph structure in vector space.

3.3 Vector Store and Indexing


• Text & Multimodal Indexing: Use FAISS or Milvus (open source versions) to store
and query embeddings.

• Graph Indexing: Store the knowledge graph in a graph database like Neo4j Community
Edition or manage it in-memory with NetworkX for smaller-scale projects.

4 Multi-Agent Architecture for Query Processing and


RAG
4.1 Query Understanding and Pre-Processing Agent
• Query Parsing: Use Hugging Face models or spaCy to process and understand the
query, extracting key financial terms.

• Query Embedding: Generate a query embedding using the same model as for doc-
ument embeddings.

4
4.2 RAG Agent with Graph Integration
• Retriever Agent:

– Text Retriever: Query the FAISS/Milvus vector store.


– Graph Retriever: Query the knowledge graph using NetworkX queries or Neo4j
Cypher queries.

• Generator Agent: Use an open source generative model (e.g., GPT-2 or a fine-tuned
variant from Hugging Face) to produce the final answer. Alternatives such as Open
Assistant can also be considered.

• Context Fusion: Combine retrieved text segments with graph insights to form a
unified context for the generator.

4.3 Multi-Agent Orchestration


• Agent Framework: Use a task queue system like Celery along with a message broker
(RabbitMQ or Redis) to manage communication between agents:

– Document Agent: Handles ingestion, OCR, and embedding creation.


– Graph Agent: Manages entity extraction and graph building.
– Query Agent: Processes and embeds user queries.
– RAG Agent: Retrieves context and orchestrates response generation.

5 Generative Response Creation with Pre-Trained Mod-


els
5.1 Generative Model and Prompting
• Model Selection: Use open source models from Hugging Face (e.g., GPT-2 or GPT-Neo)
for response generation. Fine-tuning on financial texts may be applied if necessary.

• Prompt Engineering: Craft prompts that include both text and graph context. For
example:

"Using the following financial data and relationships between key


entities, answer the question: [user query]. Context: [aggregated
text and graph insights]."

5.2 Multimodal Response (Optional)


• Visual Summaries: If charts or images are relevant, generate captions or summaries
using image captioning models (open source versions available on Hugging Face).

5
6 Integration, Deployment, and User Interaction
6.1 Backend Development
• API Creation: Build RESTful APIs using Flask or Django to handle:

– File upload and processing.


– Agent orchestration.
– Vector and graph retrieval.
– Response generation.

• Containerization: Use Docker to containerize your application. Tools such as


Docker Compose or Kubernetes (open source version) can assist with orchestration
and scaling.

6.2 Frontend Interface


• Chat Interface: Develop an interactive web UI using frameworks like React or
Vue.js where users can:

– Upload financial PDFs.


– Pose questions.
– View responses along with context excerpts or visualized graphs.

• Visualization Tools: Use libraries such as D3.js or Plotly.js to visualize the


knowledge graph or extracted data.

6.3 Security and Compliance


• Data Security: Implement HTTPS, JWT-based authentication, and secure storage
practices.

• Compliance: Ensure the solution meets applicable data protection standards and
financial regulations.

7 Testing, Monitoring, and Continuous Improvement


7.1 Testing
• Unit & Integration Testing: Use frameworks like PyTest to test individual modules
(OCR, embedding, retrieval, generation) and the overall workflow.

• User Acceptance Testing (UAT): Validate the system using sample financial doc-
uments and real user queries.

6
7.2 Monitoring & Logging
• Monitoring Tools: Use open source monitoring tools like Prometheus and Grafana
for performance and health tracking.

• Logging: Utilize Python’s logging module or frameworks such as the ELK stack (Elas-
ticsearch, Logstash, Kibana) for logging and debugging.

7.3 Iterative Improvements


• Feedback Loop: Collect user feedback and logs to continuously improve extraction
accuracy, retrieval quality, and generative responses.

• Model Updates: Regularly update and fine-tune models using new data to adapt to
evolving financial document formats and terminology.

8 Summary
• Document Ingestion & Preprocessing: Utilize open source tools such as PDFMiner,
PyMuPDF, and Tesseract for PDFs and images. Use spaCy and NetworkX for entity
extraction and graph construction.

• Content Analysis & Embedding: Generate text and multimodal embeddings using
Hugging Face Transformers and CLIP. Store embeddings in FAISS or Milvus and index
the knowledge graph using Neo4j or NetworkX.

• Multi-Agent Retrieval & RAG: Leverage a multi-agent architecture with Celery


(using RabbitMQ/Redis) to orchestrate retrieval from text and graph stores and gen-
erate responses with open source generative models such as GPT-2 or GPT-Neo.

• Integration & Deployment: Build RESTful APIs with Flask/Django, containerize


with Docker, and develop a user-friendly UI using modern JavaScript frameworks.
Implement strong security and compliance measures.

• Testing & Monitoring: Utilize PyTest, Prometheus, Grafana, and the ELK stack
to ensure performance, security, and continuous improvements.

9 Conclusion
This open source architecture provides a comprehensive solution for building a robust finan-
cial document chatbot that integrates:

• Retrieval Augmented Generation (RAG)

• Graph RAG for relational insights

• A multi-agent approach for modular processing

7
• Pre-trained models and multimodal capabilities

Using freely available libraries and frameworks, this design ensures scalability, accuracy,
and compliance while enabling detailed financial document analysis and insightful response
generation.

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