Altium: research and buyback planning for funds
Helps wealth advisors keep track of the funds they hold, and helps fund teams plan quarterly buybacks. Forecasts come from 2,000 simulated scenarios, and every claim cites its source.
- Role
- Lead AI & Full-Stack Systems Architect
- Built with
- TypeScript, Node.js, PostgreSQL, Qdrant, Pi Agent Runtime, DeepSeek, Mistral Embeddings, React, Docker, Playwright
Results
- 0.25 ptMean Forecast Error2,000-trial broker-correlated simulation over 8 quarters
- 5–10sPlaybook ExecutionEvent-driven RAG briefs triggered on document index
- 12,000Simulated Accounts$2.0B NAV / $2.3B debt BDC across 5 brokers & 800 RIAs
- 2-PassParaphrase CriticExact quote + numeric token verification with excerpt fallback
Centralizing concurrency, per-workspace token budgets, circuit breakers, and a 5-call cached SEC EDGAR ceiling in config/runtime.json keeps playbook runs to 5–10 seconds while ensuring zero unverified LLM numbers ever enter a board pack or advisor export.
The problem
Wealth advisors and RIAs holding interval funds, tender-offer funds, and non-traded BDCs lacked continuous, citation-verified monitoring across SEC filings and liquidity windows, while fund finance teams ran quarterly tender offers (from T−11w baseline forecasts to T+11w board packs) across disconnected spreadsheets without maker-checker audit controls.
In more detail
Two-sided institutional platform serving both wealth advisor research workspaces and fund finance tender-offer teams—combining event-driven RAG playbooks, a 2,000-trial broker-correlated Monte Carlo tender engine, two-pass paraphrase verification, and maker-checker governance.
How it works
┌──────────────────────────────────────────────────────────────────────────────┐
│ ADVISOR / RIA WORKSPACE FUND FINANCE TEAM WORKSPACE │
│ • Playbooks (Brief, Compare, Delta) • T-11w → T+11w Tender Lifecycle │
│ • Client Exposure & Meeting Prep • 2,000-Trial Monte Carlo Forecast│
│ • Non-Binding Tender Indications ◄────► • Maker-Checker Role Governance │
└──────────────────┬──────────────────▲───────────────────────┬────────────────┘
│ │ Approved Notices │
▼ │ (CFO/Counsel/CCO) ▼
┌─────────────────────────────────────┴────────────────────────────────────────┐
│ NODE/TS ORCHESTRATOR & BOUNDED PI AGENT RUNTIME (config/runtime.json Policy) │
│ │
│ ┌────────────────────────────────────┐ ┌────────────────────────────────┐ │
│ │ Two-Pass Citation & Support Critic │ │ Deterministic Tender Engine │ │
│ │ • Pass 1: Scoped Draft Generation │ │ • SEC 20-Business-Day Calendar │ │
│ │ • Pass 2: Quote & Numeric Verifier │ │ • Leverage & Revolver Scenarios│ │
│ │ • Fallback: Verbatim Excerpt Only │ │ • Floor Proration & Fee Cohorts│ │
│ └─────────────────┬──────────────────┘ └───────────────┬────────────────┘ │
└────────────────────┼─────────────────────────────────────┼───────────────────┘
▼ ▼
┌──────────────────────────────────────┐ ┌────────────────────────────────────┐
│ Qdrant Vector + Lexical Hybrid Index │ │ PostgreSQL (Versioned Snapshots, │
│ (Mistral Embeddings + Tenant Filter) │ │ Audit Logs, SEC 5-Call Cache) │
└──────────────────────────────────────┘ └────────────────────────────────────┘Key decisions
Dual-Sided Institutional Network & Maker-Checker Governance
Connects Fund Finance workspaces (controllers, CFOs, counsel, CCOs, board) with Advisor/RIA workspaces. Enforces strict maker-checker controls where the preparer of a rule set or schedule version cannot approve it, and only CFO/counsel/CCO-approved tender notices cross the network to following advisors.
SEC Holiday-Aware Tender Engine & 2,000-Trial Monte Carlo Simulation
Models the T−11w to T+11w quarterly tender lifecycle in deterministic decimal arithmetic: multi-factor account redemption scorecards, 2,000 seeded quarters with broker-correlated mood multipliers (0.7x–1.8x), intraday percentile trackers, post-payout leverage cap scenarios, and exact proration schedules.
Event-Driven Research Playbooks & Two-Pass Paraphrase Verification
Executes repeatable playbooks (Fund Brief, Compare 2–5 Funds, Liquidity Readiness, What Changed delta detection) automatically when new documents index into Qdrant (Mistral embeddings + lexical fallback). A second bounded DeepSeek critic verifies every paraphrase and numeric token against verbatim source quotes.