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Portfolio sorting is ubiquitous in the empirical finance literature, where it has been widely used to identify pricing anomalies. Despite its popularity, little attention has been paid to the statistical properties of the procedure. We…

Econometrics · Economics 2020-07-21 Matias D. Cattaneo , Richard K. Crump , Max H. Farrell , Ernst Schaumburg

We develop a nonparametric approach to identify and estimate consumer preferences and unobserved heterogeneity under nonlinear price schedules. Leveraging variation across multiple price schedules, we show that both the utility function and…

Econometrics · Economics 2026-04-29 Samuele Centorrino , Frédérique Fève , Jean-Pierre Florens

Employing probabilistic techniques we compute best possible upper and lower bounds on the price of an option on one or two assets with continuous piecewise linear payoff function based on prices of simple call options of possibly distinct…

Probability · Mathematics 2008-12-02 Dimitris Bertsimas , Natasha Bushueva

Quantization for a probability distribution refers to the idea of estimating a given probability by a discrete probability supported by a finite number of points. In this paper, firstly a general approach to this process is outlined using…

Probability · Mathematics 2022-01-26 Joseph Rosenblatt , Mrinal Kanti Roychowdhury

This paper presents how the most recent improvements made on covariance matrix estimation and model order selection can be applied to the portfolio optimisation problem. The particular case of the Maximum Variety Portfolio is treated but…

Applications · Statistics 2018-04-03 Emmanuelle Jay , Eugénie Terreaux , Jean-Philippe Ovarlez , Frédéric Pascal

Despite their benefits in terms of simplicity, low computational cost and data requirement, parametric machine learning algorithms, such as linear discriminant analysis, quadratic discriminant analysis or logistic regression, suffer from…

Machine Learning · Statistics 2025-11-13 Mohamed Chaouch , Omama M. Al-Hamed

We study a counterfactual mean-variance optimization, where the mean and variance are defined as functionals of counterfactual distributions. The optimization problem defines the optimal resource allocation under various constraints in a…

Methodology · Statistics 2025-04-15 Kwangho Kim , Alan Mishler , José R. Zubizarreta

In this paper we develop a nonparametric maximum likelihood estimate of the mixing distribution of the parameters of a linear stochastic dynamical system. This includes, for example, pharmacokinetic population models with process and…

Methodology · Statistics 2015-09-16 Alona Kryshchenko , Alan Schumitzky , Mike van Guilder , Michael Neely

As the dynamic structure of the financial markets is subject to dramatic changes, a model capable of providing consistently accurate volatility estimates must not make strong assumptions on how prices change over time. Most volatility…

Methodology · Statistics 2017-08-28 Wilson Ye Chen , Richard H. Gerlach

We present large sample results for partitioning-based least squares nonparametric regression, a popular method for approximating conditional expectation functions in statistics, econometrics, and machine learning. First, we obtain a…

Statistics Theory · Mathematics 2020-07-20 Matias D. Cattaneo , Max H. Farrell , Yingjie Feng

In this paper, two types of linear estimators are considered for three related estimation problems involving set-theoretic uncertainty pertaining to $\mathcal{H}_{2}$ and $\mathcal{H}_{\infty}$ balls of frequency-responses. The problems at…

Systems and Control · Electrical Eng. & Systems 2022-01-11 Gilberto O. Corrêa , Marlon M. López-Flores

This study proposes a computationally efficient semiparametric distribution estimator, which is a slight modification of the naive mixture proposed by Schuster and Yakowitz (1985) and Olkin and Spiegelman (1987). The proposed method is…

Statistics Theory · Mathematics 2025-09-12 Taku Moriyama

In this paper, we study the linear transformation model in the most general setup. This model includes many important and popular models in statistics and econometrics as special cases. Although it has been studied for many years, the…

Methodology · Statistics 2021-03-26 Tao Yu , Pengfei Li , Baojiang Chen , Ao Yuan , Jing Qin

We investigate approximately optimal mechanisms in settings where bidders' utility functions are non-linear; specifically, convex, with respect to payments (such settings arise, for instance, in procurement auctions for energy). We provide…

Computer Science and Game Theory · Computer Science 2017-02-23 Amy Greenwald , Takehiro Oyakawa , Vasilis Syrgkanis

Semiparametric models are useful in econometrics, social sciences and medicine application. In this paper, a new estimator based on least square methods is proposed to estimate the direction of unknown parameters in semi-parametric models.…

Methodology · Statistics 2023-03-10 Jinyue Han , Jun Wang , Wei Gao , Man-Lai Tang

Model-Based Diagnosis deals with the identification of the real cause of a system's malfunction based on a formal system model and observations of the system behavior. When a malfunction is detected, there is usually not enough information…

Artificial Intelligence · Computer Science 2017-11-16 Patrick Rodler , Wolfgang Schmid , Konstantin Schekotihin

The paper considers the problem of robust estimating a periodic function in a continuous time regression model with dependent disturbances given by a general square integrable semimartingale with unknown distribution. An example of such a…

Statistics Theory · Mathematics 2010-10-20 Victor Konev , Serguei Pergamenchtchikov

We study problems with stochastic uncertainty information on intervals for which the precise value can be queried by paying a cost. The goal is to devise an adaptive decision tree to find a correct solution to the problem in consideration…

Data Structures and Algorithms · Computer Science 2021-09-27 Steven Chaplick , Magnús M. Halldórsson , Murilo S. de Lima , Tigran Tonoyan

We investigate optimal order execution problems in discrete time with instantaneous price impact and stochastic resilience. First, in the setting of linear transient price impact we derive a closed-form recursion for the optimal strategy,…

Trading and Market Microstructure · Quantitative Finance 2023-10-31 Tao Chen , Mike Ludkovski , Moritz Voß

We present algorithms for nonparametric regression in settings where the data are obtained sequentially. While traditional estimators select bandwidths that depend upon the sample size, for sequential data the effective sample size is…

Methodology · Statistics 2012-07-03 Haijie Gu , John Lafferty