On the Theoretical Limitations of Embedding-Based Retrieval

AK's Picks NLP VDIT ML NNGTB RecSys / IR Semantic Retrieval and Personalization
近年来,向量嵌入被用于越来越多的检索任务,且在推理、指令执行、代码生成等方面的应用也开始兴起。这些新的基准测试要求嵌入模型能够应对任何可能的查询以及各种相关性定义。虽然之前的研究指出了向量嵌入在理论上存在局限性,但人们普遍认为这些问题只会在不现实的查询中出现,而对那些合理的查询,只要训练数据更完善、模型更大,就能克服这些困难。在本研究中,我们展示了即使在非常简单的查询和现实的场景中,也可能会遇到这些理论上的限制。我们结合了学习理论中的已有成果,说明能够通过某个查询返回的文档 top-k 子集数量受限于嵌入空间的维度。我们通过实验表明,即使将 k 限制为 2,并使用自由参数化的嵌入直接在测试集上进行优化,这一限制依然存在。随后,我们基于这些理论结果构建了一个名为 LIMIT 的真实数据集,用于对模型进行极限测试,并观察到,即使是最先进的模型,在这个任务本身非常简单的数据集上也表现不佳。我们的研究揭示了当前单一向量范式下嵌入模型的根本性局限,并呼吁未来研究应致力于开发能够突破这一限制的新方法。
Vector embeddings have been tasked with an ever-increasing set of retrieval tasks over the years, with a nascent rise in using them for reasoning, instruction-following, coding, and more. These new benchmarks push embeddings to work for any query and any notion of relevance that could be given. While prior works have pointed out theoretical limitations of vector embeddings, there is a common assumption that these difficulties are exclusively due to unrealistic queries, and those that are not can be overcome with better training data and larger models. In this work, we demonstrate that we may encounter these theoretical limitations in realistic settings with extremely simple queries. We connect known results in learning theory, showing that the number of top-k subsets of documents capable of being returned as the result of some query is limited by the dimension of the embedding. We empirically show that this holds true even if we restrict to k=2, and directly optimize on the test set with free parameterized embeddings. We then create a realistic dataset called LIMIT that stress tests models based on these theoretical results, and observe that even state-of-the-art models fail on this dataset despite the simple nature of the task. Our work shows the limits of embedding models under the existing single vector paradigm and calls for future research to develop methods that can resolve this fundamental limitation.
许愿