| Asset Class | Status | Scenarios | Notes |
|---|---|---|---|
| M&A / Event-Driven | Full | GOOGL/HubSpot Deal (SC 06) | Merger arb, deal premium, regulatory risk, synergy NPV |
| Activist / Regulatory Filing | Full | BRKB Elliott 13D (SC 08) | 13D/13G analysis, activist playbook, proxy probability, NAV discount |
| Equity — Large Cap | Full | NVDA, JPM, TSLA, MSFT, GOOGL, BRKB, META, RXCO | Earnings beat & miss, initiations, upgrades, downgrades, SELL initiation, perpetual monitoring |
| Equity — Earnings Miss | Full | META Q3 Miss (SC 09) | Negative surprise workflow: downgrade review, prior rating error-risk compliance, sign-off gate |
| Equity — Short / SELL Initiation | Full | RXCO Patent Cliff (SC 10) | SELL from scratch, IC committee approval, short position protocol, legal review |
| Equity — Mid/Small Cap | Full | Live Custom (sc-99) | Same pipeline, calibrated thresholds |
| Fixed Income — HY Distressed | Full | PHC Credit (SC 03) | Covenant breach, distress analysis, IC escalation, recovery modeling |
| Macro / Rates | Full | FOMC Surprise +50bps (SC 07) | Cross-asset, duration, FX, curve positioning, EM sweep |
| Multi-Asset / Thematic | Full | Macro FOMC Sweep (SC 07) | Cross-asset overlays, thematic conviction scoring |
| Derivatives / Options | Phase 2 | Roadmap | Greeks, skew, vol surface — extensible via agent calibration |
| Private Markets | Phase 2 | Roadmap | Illiquidity premium, vintage analysis — requires LP data connectors |
| Workflow Type | Status | Description |
|---|---|---|
| Earnings Flash Notes | Full | Auto-triggered on earnings release. All 7 agents. Analyst sign-off before distribution. |
| Coverage Initiations | Full | IC Committee gate mandatory. UBO-style ownership/holder analysis. Full initiation memo. |
| Rating Changes (Up/Down) | Full | Conviction drift triggers upgrade/downgrade. PT revision with DCF/comps support. |
| PM Ad Hoc Requests | Full | Same-day turnaround. Macro headwinds, position sizing, trim/add guidance. |
| Perpetual Monitoring | Full | Event-driven conviction scoring. Score drift >10pts triggers auto-research. Zero analyst input. |
| Thematic / Strategy Notes | Full | Multi-asset overlays. Sector rotation. Cross-asset positioning frameworks. |
| Credit IC Memos | Full | Covenant analysis, spread vs peers, recovery modeling, position limit checks. |
| Earnings Miss / Negative Surprise | Full | Same pipeline as earnings beat — opposite direction. Downgrade review, prior rating compliance check, sign-off required. |
| Short Thesis / SELL Initiation | Full | SELL initiation from scratch. IC committee gate mandatory. Legal review protocol. Short position sizing recommendation. |
| Consensus Tracking | Phase 2 | Automated estimate revision monitoring vs consensus — roadmap item. |
| Agent | Function | Data Sources |
|---|---|---|
| Fundamental Agent [VEC][API][SQL-DB] · Credit Agent in SC03 | Financial statement analysis, earnings quality, covenant analysis, recovery modeling | SEC EDGAR, Bloomberg, FactSet, company filings, rating agencies |
| Valuation | DCF, comps (P/E, EV/EBITDA, P/S, P/B), precedent transactions, NAV for credit | Bloomberg consensus, FactSet, proprietary models |
| Macro Agent [VEC][API] · Sector Agent in SC03 · Rates Agent in SC07 | Top-down regime assessment, sector rotation, factor exposure, rate sensitivity, yield curve analysis | FRED, Bloomberg macro, sector indices, rates curves, Fed data |
| Sentiment & Positioning | Sell-side consensus, estimate revision trends, short interest, options positioning, fund flows | Bloomberg, Refinitiv, CFTC COT, options chain data |
| Risk Assessment | Bull/base/bear scenario construction, tail risk identification, liquidity risk, concentration risk | VaR models, stress test frameworks, liquidity analytics |
| Portfolio Fit | Active weight analysis, factor exposure check, liquidity constraint, position sizing | Portfolio management system, risk factor models |
| Compliance | Reg FD screen, MiFID II research unbundling, MNPI check, restricted list, best execution | Compliance system, restricted list, watchlist |
All 7 agent slots run on every pipeline. Two slots adapt their specialist role to the scenario type: Slot 1 = Fundamental (equity) / Credit (HY/SC03) / same slot; Slot 4 = Macro (equity) / Sector (credit/SC03) / Rates (macro/SC07). The other 5 slots — Valuation, Sentiment, Risk, Compliance, Portfolio — are constant across all 10 scenarios. Total distinct named agents across scenario library: 12.
| Tool | Name | Technology & Sources |
|---|---|---|
[VEC] VECTOR-RAG | Research Corpus | Firm research archive, regulatory corpus, earnings transcript library · Pinecone + LangChain |
[API] API-CALLS | Live Market Data | Bloomberg, FactSet, Refinitiv, SEC EDGAR, FRED, options chains · Real-time feeds |
[SQL-DB] SQL-DB | Portfolio Intelligence | 36-month position history, prior ratings, P&L attribution, factor exposures · Snowflake |
[KG] KNOW-GRAPH | Entity Networks | Corporate ownership chains, board networks, analyst coverage maps · Neo4j |
[MEM] MEMORY | Research Intelligence | Prior note style guide, IC committee preferences, risk appetite history · Redis LTM |
| Gate | Type | What the Analyst Does |
|---|---|---|
| AUTO Clearance | AUTO | Earnings flash notes on beats where Reg FD cleared and no rating change. SC01 NVDA is the demo example. No analyst touch required — compliance gate must clear first. |
| Analyst Sign-Off | REQUIRED | Review draft note, approve recommendation, authorize distribution. Mandatory for rating changes, downgrades, initiations — 6 of 10 scenarios. |
| IC Committee | REQUIRED | Coverage initiations and major rating changes require committee vote before publication. |
| Compliance Pre-Clearance | REQUIRED | Reg FD, MNPI, restricted list clearance. MiFID II research unbundling log filed automatically. |
| Position Limit Override | ADVISORY | If recommendation exceeds position limits, flag raised. PM decides on override. |