Journal of Technology Informatics and Engineering
Vol. 5 No. 2 (2026): AUGUST | JTIE : Journal of Technology Informatics and Engineering

Numerical-Reasoning Guardrails for a Quant Research Assistant: A Compact Reproducible Benchmark Using SEC and FRED Data

Zeyi Li (Industrial Engineering, New York University, NY, USA)
Kai Zhang (Financial Engineering, Baruch College, NY, USA)
Annie Wong (Computer Science, Cornell Tech, NY, USA)



Article Info

Publish Date
17 Jun 2026

Abstract

This paper presents a compact reproducible benchmark for evaluating numerical-reasoning guardrails in a quant research assistant. The revised experiment uses a fixed 2026 source snapshot derived from the SEC 2026 Q1 Financial Statement Data Sets and FRED CSV series for VIXCLS, DGS10, DGS3MO and T10Y3M. The benchmark contains 460 tasks: 300 SEC financial-ratio tasks over 50 issuer-period records, 120 FRED VIX and Treasury-rate change tasks, and 40 macro-regime classification tasks. Each answer is evaluated by five programmatic guardrails: numeric consistency, unit correctness, time-window correctness, formula correctness and citation/source consistency. Four controlled response profiles are tested: Naive-RAG, Calculator-Only, Prompted-Checklist and Guarded-Quant. These profiles are deterministic failure-mode controls rather than performance claims about any particular deployed LLM. The empirical results show that arithmetic alone is not sufficient for financial safety: Calculator-Only reaches 79.78% numeric accuracy but only 0.43% all-guardrails pass rate because source, unit, formula and window fields often fail. Guarded-Quant achieves an 88.48% all-guardrails pass rate, 97.17% numeric accuracy, 100.00% unit pass rate, 96.30% window pass rate, 98.26% formula pass rate and 96.30% citation pass rate. The findings support a modest claim: a compact benchmark can make numerical audit failures visible, but it should not be read as evidence of broad quant-assistant reliability without broader data, live model outputs and operational stress tests.

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Journal Info

Abbrev

jtie

Publisher

Subject

Computer Science & IT

Description

Power Engineering Telecommunication Engineering Computer Engineering Control and Computer Systems Electronics Information technology Informatics Data and Software engineering Biomedical ...