arXiv:2508.21038cs.IRcs.CL2025-08中稿 · ICLR被引 131

嵌入模型在简单查询下仍受理论限制,无法可靠检索所有文档对。

On the Theoretical Limitations of Embedding-Based Retrieval

  • 基于学习理论,嵌入维度限制了可检索的文档组合数量。
  • 即使直接优化测试集,高维嵌入才能准确返回所有文档对。
  • 新数据集LIMIT显示顶尖模型在简单任务上仍会失败。

向量嵌入近年来被用于越来越多的检索任务,包括推理、指令遵循和编程等。这些新基准要求嵌入模型能应对任意查询和相关性定义。尽管已有研究指出嵌入的理论局限性,但普遍认为这些问题仅源于不现实的查询,可通过更好训练数据和更大模型克服。本文证明,即使在真实场景中使用极简查询,仍会遭遇此类理论限制。我们连接学习理论中的已知结果,表明能作为查询结果返回的前k个文档子集数量受限于嵌入维度。实验显示,即使直接在测试集上优化参数化嵌入,该限制依然成立。进一步利用自由嵌入证明,返回所有文档对需要较高维度。随后构建名为LIMIT的真实数据集,基于这些理论结果对嵌入模型进行压力测试,发现即便最先进的模型也在此数据集上失败,尽管任务本身极为简单。本工作揭示了现有单向量范式下嵌入模型的根本局限,呼吁未来研究发展新方法以解决这一问题。

原文摘要 · Abstract (English)

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 directly optimize on the test set with free parameterized embeddings. Using free embeddings, we then demonstrate that returning all pairs of documents requires a relatively high dimension. We then create a realistic dataset called LIMIT that stress tests embedding 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 new techniques that can resolve this fundamental limitation.

嵌入检索理论极限模型评估

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