Jesse Ponnock

Jesse Ponnock

Domain-adaptive pretraining (DAPT) offers a practical path to specializing large language models for high-value domains without full retraining. We conduct an early-stage scaling-law analysis of continued pretraining on U.S. SEC filings, training 1B and 3B-parameter Llama-3.2 models on a 400M-token financial corpus with validation checkpoints at 50M, 100M, 200M, and 400M tokens. Results show consistent improvements in SEC-domain validation loss for both models, with the largest gains occurring within the first 200M tokens and diminishing returns thereafter. Power-law fits reveal shallow exponents, indicating that financial language is highly regular and efficiently learnable under continued pretraining. General-domain validation loss remains effectively unchanged across all token budgets, suggesting minimal drift and no signs of catastrophic forgetting. A data-efficiency frontier further shows that both models move toward improved specialization with negligible mixed-domain degradation. Together, these findings provide early empirical guidance for scaling financial foundation models, suggesting that meaningful domain adaptation can be achieved with comparatively modest token budgets and that larger model scales (7B-70B) remain tractable under projected data requirements.

Jesse Ponnock, Grace Kenneally, Michael Robert Briggs et al.

New technologies in generative AI can enable deeper analysis into our nation's supply chains but truly informative insights require the continual updating and aggregation of massive data in a timely manner. Large Language Models (LLMs) offer unprecedented analytical opportunities however, their knowledge base is constrained to the models' last training date, rendering these capabilities unusable for organizations whose mission impacts rely on emerging and timely information. This research proposes an innovative approach to supply chain analysis by integrating emerging Retrieval-Augmented Generation (RAG) preprocessing and retrieval techniques with advanced web-scraping technologies. Our method aims to reduce latency in incorporating new information into an augmented-LLM, enabling timely analysis of supply chain disruptors. Through experimentation, this study evaluates the combinatorial effects of these techniques towards timeliness and quality trade-offs. Our results suggest that in applying RAG systems to supply chain analysis, fine-tuning the embedding retrieval model consistently provides the most significant performance gains, underscoring the critical importance of retrieval quality. Adaptive iterative retrieval, which dynamically adjusts retrieval depth based on context, further enhances performance, especially on complex supply chain queries. Conversely, fine-tuning the LLM yields limited improvements and higher resource costs, while techniques such as downward query abstraction significantly outperforms upward abstraction in practice.

Jesse Ponnock

Given recent breakthroughs in Generative Artificial Intelligence (GAI) and Large Language Models (LLMs), more and more professional services are being augmented through Artificial Intelligence (AI), which once seemed impossible to automate. This paper presents a modular model for leveraging GAI in developing strategic plans for large scale government organizations and evaluates leading machine learning techniques in their application towards one of the identified modules. Specifically, the performance of BERTopic and Non-negative Matrix Factorization (NMF) are evaluated in their ability to use topic modeling to generate themes representative of Vision Elements within a strategic plan. To accomplish this, BERTopic and NMF models are trained using a large volume of reports from the Government Accountability Office (GAO). The generated topics from each model are then scored for similarity against the Vision Elements of a published strategic plan and the results are compared. Our results show that these techniques are capable of generating themes similar to 100% of the elements being evaluated against. Further, we conclude that BERTopic performs best in this application with more than half of its correlated topics achieving a "medium" or "strong" correlation. A capability of GAI-enabled strategic plan development impacts a multi-billion dollar industry and assists the federal government in overcoming regulatory requirements which are crucial to the public good. Further work will focus on the operationalization of the concept proven in this study as well as viability of the remaining modules in the proposed model for GAI-generated strategic plans.