Physlib.QuantumMechanics.DDimensions.Operators.SpectralTheory.Basic
Spectral theory for closed operators
i. Overview
In this module we develop the basics for the spectral theory of closed unbounded operators. This forms the basis for the spectral theory of self-adjoint unbounded operators, which are of central importance in quantum mechanics.
Definitions for subsets of ℂ associated to an operator `T : H →ₗ.[ℂ] H` vary by author. Here we adopt those used in [Konrad Schmüdgen, *Unbounded Self-Adjoint Operators on Hilbert Space*][Schmudgen2012], summarized in the following table:
| Subset of ℂ | abbrev. | `D(T - z)` | `R(T - z)` | `(T - z)⁻¹` | | :---------- | :-----: | :--------: | :--------: | :---------: | | Regularity domain | | `= ⊥` | | continuous | | Resolvent set | `ρ` | `= ⊥` | `= ⊤` | continuous | | Point spectrum | `σᵖ` | `≠ ⊥` | | | | Residual spectrum | `σʳ` | `= ⊥` | `≠ ⊤` | continuous | | Continuous spectrum | `σᶜ` | | not closed | |
ii. Key results
Definitions (corresponding to an operator `T : H →ₗ.[ℂ] H`) - `LinearPMap.regularityDomain` : The set of regular points. A complex number `z` is a regular point if there exists `c > 0` such that `c * ‖x‖ ≤ ‖T x - z • x‖` for all `x : T.domain`. - `LinearPMap.deficiencySubspace` : Given a complex number `z`, the closed submodule which is orthogonal to the range of `T - z • 1`. - `LinearPMap.defectNumber` : Given a complex number `z`, the rank of the corresponding deficiency subspace as a (possibly infinite) cardinal. - `LinearPMap.numericalRange` (`Θ`) : The set of complex numbers `⟪x, T x⟫_ℂ` as `x` ranges over the unit sphere in `T.domain`. - `LinearPMap.resolventSet` (`ρ`) : The set of complex numbers `z` for which `T - z • 1` has a continuous (equivalently, bounded) inverse with domain all of `H`. - `LinearPMap.spectrum` (`σ`) : The complement of the resolvent set. - `LinearPMap.pointSpectrum` (`σᵖ`) : The set of complex numbers `z` for which `T - z • 1` fails to be invertible. - `LinearPMap.residualSpectrum` (`σʳ`) : The set of complex numbers `z` for which `T - z • 1` has a continuous (equivalently, bounded) inverse with domain not all of `H`. - `LinearPMap.continuousSpectrum` (`σᶜ`) : The set of complex numbers `z` for which the range of `T - z • 1` is not dense in `H`.
Main results - `regularityDomain_isOpen` : The regularity domain is an open subset of `ℂ`. - `closure_range_sub_eq_range_closure_sub` : If `z` is a regular point for a closable operator `T` then the closure of `(T - z • 1).range` is `(T.closure - z • 1).range`. - `defectNumber_const` : The defect number is constant on each connected component of the regularity domain. - `compl_closure_numericalRange_subset_regularityDomain` : The regularity domain contains the exterior of the numerical range. - `numericalRange_convex` : The Toeplitz-Hausdorff theorem — the numerical range is a convex set. - `resolventSet_isOpen` and `spectrum_isClosed` : The resolvent set is an open subset of ℂ and its complement, the spectrum, is closed. - `IsClosed.spectrum_eq` : For a closed operator the spectrum is the union of the point, residual and continuous spectra.
iii. Table of contents
- A. Regularity domain - B. Deficiency subspace & defect number - C. Numerical range - C.1. The Toeplitz-Hausdorff theorem - D. Spectrum of a closed operator - D.1. Resolvent set - D.2. Spectrum - D.2.1. Point spectrum - D.2.2. Residual spectrum - D.2.3. Continuous spectrum - D.3. Spectrum decomposition - E. Resolvent identities
iv. References
- [Konrad Schmüdgen, *Unbounded Self-Adjoint Operators on Hilbert Space*][Schmudgen2012]
A. Regularity domain
B. Deficiency subspace & defect number
C. Numerical range
C.1. The Toeplitz-Hausdorff theorem
D. Spectrum of a closed operator
D.1. Resolvent set
D.2. Spectrum
#### D.2.1. Point spectrum
#### D.2.2. Residual spectrum
#### D.2.3. Continuous spectrum
D.3. Spectrum decomposition
E. Resolvent identities
74 declarations
Resolvent operator
Let be a complex Hilbert space and be a partial linear operator. For any complex number , the resolvent of at is the partial linear operator defined as the inverse of , where denotes the identity operator on . This is denoted as .
Notation for the resolvent operator
The symbol is the notation used to represent the resolvent operator of a linear operator at a complex number . In spectral theory, this usually refers to the operator .
Lower bound
For a partially defined linear operator on a complex Hilbert space , a complex number , and a real number , the property `IsLowerBound T z c` states that for all in the domain of , the following inequality holds: where denotes the norm in .
`IsLowerBound T z c` implies `IsLowerBound (-T) (-z) c`
Let be a partially defined linear operator on a complex Hilbert space , be a complex number, and be a real number. If the inequality holds for all in the domain of , then the inequality holds for all in the domain of .
Let be a complex Hilbert space and be a partially defined linear operator on . For any complex number and real numbers , if and the operator satisfies the lower bound condition for all in the domain of , then it also satisfies the lower bound condition for all in the domain of .
If , then having a lower bound implies has the same lower bound
Let be a complex Hilbert space. Let and be partially defined linear operators on such that (that is, is an extension of , meaning and for all ). If satisfies a lower bound of the form for some and for all , then satisfies the same lower bound for all .
The lower bound for implies the same for its closure
Let be a complex Hilbert space and be a partially defined linear operator on . For any complex number and real number , if satisfies the lower bound for all in the domain of , then the closure of the operator also satisfies the lower bound for all in the domain of .
Regularity domain of a partially defined linear operator
Let be a complex Hilbert space and be a partially defined linear operator on with domain . The regularity domain of is the set of complex numbers such that there exists a constant satisfying for all , where denotes the norm on .
Let be a complex Hilbert space and be a partially defined linear operator on with domain . Let denote the regularity domain of , which is the set of complex numbers such that there exists a constant satisfying for all . Then the regularity domain of the negated operator is the set of the negatives of the elements in the regularity domain of :
for
Let be a complex Hilbert space and be a partially defined linear operator on with domain . For any non-zero complex scalar , the regularity domain of the scaled operator is equal to the scaling of the regularity domain of . That is, where .
Let be a complex Hilbert space. For partially defined linear operators and on , if is an extension of (denoted ), then the regularity domain of is a subset of the regularity domain of : (Note: means the domain is a subspace of and the operators agree on ).
Let be a complex Hilbert space and be a partially defined linear operator on with domain . A complex number belongs to the regularity domain of if and only if the operator (where is the identity operator) is injective (i.e., its kernel is ) and its inverse is continuous.
If , then
Let be a partially defined linear operator on a complex Hilbert space with domain . If there exists a constant such that for all and some complex number , then the open ball is a subset of the regularity domain of .
The regularity domain of a partially defined linear operator is open
Let be a complex Hilbert space and be a partially defined linear operator on with domain . The regularity domain of , defined as the set of complex numbers for which there exists a constant such that for all , is an open subset of .
Let be a complex Hilbert space and be a partially defined linear operator on with domain . The regularity domain of , denoted as , is the set of complex numbers such that there exists a constant satisfying for all . This theorem states that the regularity domain of is equal to the regularity domain of its closure :
for regular
Let be a complex Hilbert space and be a closable partially defined linear operator on with closure . If belongs to the regularity domain of , then the closure of the range of is equal to the range of : where denotes the identity operator.
The range of is closed for closed operators and in the regularity domain
Let be a complex Hilbert space and be a closed, partially defined linear operator on with domain . If belongs to the regularity domain of (meaning there exists a constant such that for all ), then the range of the operator is a closed subspace of .
Let be a Hilbert space and be an unbounded linear operator on . Let denote the closure of and denote its adjoint. For any complex number , the orthogonal complement of the range of is equal to the kernel of : where is the identity operator on and is the complex conjugate of .
for in the regularity domain
Let be a complex Hilbert space and be a partially defined linear operator on . Let denote the closure of and denote the adjoint of . If belongs to the regularity domain of , then the orthogonal complement of the kernel of is equal to the range of : where is the identity operator and is the complex conjugate of .
Deficiency subspace of at
For a partial linear map on a Hilbert space and a complex number , the deficiency subspace is the closed subspace of defined as the orthogonal complement of the range of the operator , where is the identity map on . It is denoted as .
The deficiency subspace of at is
Let be a complex Hilbert space and be a partially defined linear operator on . For any complex number , the deficiency subspace of at is equal to the orthogonal complement of the range of the operator , where is the identity operator on :
Defect number of at
For a partial linear map on a complex Hilbert space and a complex number , the defect number is the dimension (rank) of the deficiency subspace at . This deficiency subspace is the orthogonal complement of the range of the operator , where is the identity map. The defect number is expressed as .
The defect number of at equals the dimension of the deficiency subspace of at
Let be a complex Hilbert space, be a partially defined linear operator on , and . The defect number of at is equal to the dimension (rank) of the deficiency subspace of at over the field .
For closed and ,
Let be a complex Hilbert space and be a closed partially defined linear operator on . For any complex number in the regularity domain of , the defect number of at is equal to if and only if the range of the operator is the entire space , where is the identity operator on .
The defect number of a linear operator and its closure are equal in the regularity domain
Let be a Hilbert space and be a partially defined linear operator on with closure . If a complex number belongs to the regularity domain of , then the defect number of at is equal to the defect number of at . That is, where denotes the identity operator and denotes the orthogonal complement.
if
Let and be submodules of a complex Hilbert space . Suppose admits an orthogonal projection. If the rank (dimension) of is strictly less than the rank of , then the intersection of the orthogonal complement of (denoted ) and is non-trivial, i.e., .
Existence of such that if at a regular point
Let be a complex Hilbert space and be a closed, partially defined linear operator on with domain . Suppose is in the regularity domain of (meaning there exists such that for all ). If the defect number of at is strictly less than the defect number of at , where the defect number is defined as the dimension of the orthogonal complement of the range of , then there exists a non-zero vector such that the inner product of and is zero:
The defect number of a closable operator is constant on a ball if is a lower bound for
Let be a complex Hilbert space and be a closable partially defined linear operator on . Suppose there exists a real number such that for all in the domain of , the inequality holds. If is a complex number such that , then the defect number of at is equal to the defect number of at , where the defect number at is the dimension of the orthogonal complement of the range of , denoted by .
The defect number is constant on each connected component of the regularity domain
Let be a complex Hilbert space and be a closable partially defined linear operator on . If and are complex numbers belonging to the same connected component of the regularity domain of , then the defect numbers of at and are equal: where the defect number at is the dimension of the orthogonal complement of the range of the operator .
Numerical range
The numerical range of a linear partially defined operator on a complex Hilbert space is the set of all complex numbers for vectors in the domain with unit norm . It is defined as: where denotes the complex inner product.
Notation for the numerical range
For a linear partially defined map on a complex Hilbert space , the symbol denotes its numerical range, which is defined as the set of all complex numbers of the form where is a unit vector in the domain of : where denotes the inner product on .
Let be a linear partially defined operator on a complex Hilbert space . The numerical range is the set of all complex numbers where ranges over the vectors in the domain with unit norm : where denotes the complex inner product.
for non-zero
Let be a complex Hilbert space and be a linear partially defined operator on with domain . For any non-zero vector , the complex number belongs to the numerical range , where denotes the complex inner product and denotes the norm.
Let be a complex Hilbert space and be a linear partially defined operator on . If the domain of , denoted , is not the zero subspace , then its numerical range is non-empty.
Let be a linear partially defined operator on a complex Hilbert space . The numerical range of , denoted , is the set of all complex numbers for unit vectors in the domain of . This theorem states that the numerical range of the operator is the negative of the numerical range of : where .
for a partially defined linear operator
Let be a complex Hilbert space and be a partially defined linear operator on . For any complex number , the numerical range of the operator satisfies the equality , where .
Let be a complex Hilbert space and be a partially defined linear operator on with domain . For any complex number , the numerical range of the operator (where is the identity operator) is the translation of the numerical range of by : where and the subtraction on the right-hand side is defined pointwise as .
The exterior of the numerical range is contained in the regularity domain of .
Let be a complex Hilbert space and be a partially defined linear operator on with domain . Let be the numerical range of , defined as The regularity domain of is the set of complex numbers for which there exists a constant such that for all . Then, the complement of the closure of the numerical range is contained in the regularity domain of :
The Toeplitz-Hausdorff Theorem: The Numerical Range is Convex
Let be a complex Hilbert space and be a linear partially defined operator on with domain . The numerical range of , denoted by and defined as the set of values is a convex subset of the complex plane . This result is known as the Toeplitz-Hausdorff theorem.
Resolvent set of a partial linear operator
Let be a complex Hilbert space and be a linear partially defined operator on with domain . The resolvent set is the set of complex numbers such that the operator (where is the identity operator) is a bijection from to , and its inverse is a continuous linear operator. Specifically, if and only if the kernel of is trivial, the range of is the entire space , and the resolvent operator is continuous.
Notation for the resolvent set
The notation denotes the resolvent set of a linear partially defined operator on a Hilbert space . A complex number belongs to the resolvent set if the operator (where is the identity) has a continuous inverse with a domain equal to the entire space .
Characterization of the resolvent set
Let be a complex Hilbert space and be a partial linear operator. The resolvent set is the set of all complex numbers such that the operator (where is the identity operator) has a trivial kernel, its range is the entire space , and the resolvent operator is continuous. In symbols:
iff is bijective with a continuous inverse
Let be a complex Hilbert space and be a partial linear operator on with domain . For any complex number , belongs to the resolvent set if and only if the following three conditions are satisfied: 1. The kernel of the operator is trivial, i.e., . 2. The range of the operator is the entire space , i.e., . 3. The resolvent operator is continuous.
The Resolvent Set of a Non-Closed Operator is Empty ()
Let be a complex Hilbert space and be a partially defined linear operator on . If is not a closed operator, then its resolvent set is the empty set .
The resolvent set is a subset of the regularity domain of
Let be a complex Hilbert space and be a partially defined linear operator on with domain . The resolvent set is a subset of the regularity domain of . That is, for any , there exists a constant such that for all .
for Closed Operators
Let be a complex Hilbert space and be a closed, partially defined linear operator on . The resolvent set consists of all complex numbers such that the operator is a bijection from its domain to . Specifically, for a closed operator , if and only if the kernel of is trivial and its range is the entire space : (Note: For closed operators, the requirement that the inverse be continuous is automatically satisfied by the bounded inverse theorem and is thus redundant in this characterization.)
The Resolvent Set of a Closed Operator equals the Set of Regular Points with Zero Defect Number
Let be a complex Hilbert space and be a closed, partially defined linear operator on . The resolvent set is equal to the intersection of the regularity domain of and the set of complex numbers for which the defect number of at is zero.
The Resolvent Set is Open
Let be a complex Hilbert space and be a partially defined linear operator on . The resolvent set of is an open subset of the complex plane .
Spectrum of a partially defined linear operator
Let be a complex Hilbert space and be a partially defined linear operator on with domain . The spectrum is the set of complex numbers that are not in the resolvent set . Formally, . A complex number belongs to the spectrum if and only if the operator (where is the identity mapping on ) either fails to be bijective as a map from to , or its inverse is not a continuous linear operator.
Notation for the spectrum
This notation introduces the symbol to represent the spectrum of a partially defined linear operator (a `LinearPMap`). The spectrum is defined as the complement of the resolvent set in the complex plane .
For a partially defined linear operator on a complex Hilbert space , the spectrum is the complement of the resolvent set in the complex plane, that is .
Characterization of for partially defined linear operators
Let be a complex Hilbert space and be a partially defined linear operator on . For any complex number , belongs to the spectrum if and only if at least one of the following conditions is satisfied: - The operator is not injective, i.e., its kernel is non-trivial: . - The operator is not surjective, i.e., its range is not the whole space: . - The resolvent operator is not continuous.
The spectrum of a non-closed operator is
Let be a complex Hilbert space and be a partially defined linear operator on . If is not a closed operator, then its spectrum is the set of all complex numbers, that is, .
The spectrum is closed
Let be a complex Hilbert space and be a partially defined linear operator on . Then the spectrum is a closed subset of the complex plane .
Point spectrum of a partial linear map
Given a partial linear map on a complex Hilbert space , the **point spectrum** is the set of complex numbers such that the operator is not injective, where is the identity operator. This set corresponds to the eigenvalues of , as it consists of all for which the kernel of contains a non-zero vector.
Notation for the point spectrum
For a linear operator acting on a complex Hilbert space , the notation denotes the **point spectrum** of . This set consists of all complex numbers such that the operator is not injective, meaning there exists a non-zero vector in the domain of such that . In other words, is the set of all eigenvalues of .
Point spectrum
Let be a complex Hilbert space and be a partial linear map on . The point spectrum is the set of complex numbers such that the kernel of the operator is not the trivial subspace , where is the identity operator. That is,
Let be a complex Hilbert space and be a partial linear map on . A complex number belongs to the point spectrum if and only if the kernel of the operator is not the trivial subspace , where denotes the identity operator.
Let be a complex Hilbert space and be a partially defined linear operator on . The point spectrum of is a subset of the spectrum of :
Residual spectrum of a partial linear operator
Let be a complex Hilbert space and be a partial linear operator. The residual spectrum of , denoted by , is the set of complex numbers such that the operator (where is the identity operator) is injective, its range is not the entire space , and the inverse operator is continuous on its domain.
Notation for the residual spectrum
The notation denotes the residual spectrum of a linear partially defined operator . It represents the set of complex numbers such that the operator is injective and has a continuous inverse whose domain (the range of ) is not the entire space .
Characterization of the residual spectrum
Let be a complex Hilbert space and be a partial linear operator on . The residual spectrum of , denoted by , is the set of complex numbers such that the operator (where is the identity operator) is injective (), the range of is not the entire space (), and the resolvent operator is continuous on its domain.
Characterization of the Residual Spectrum
Let be a complex Hilbert space and be a partial linear operator. A complex number belongs to the residual spectrum if and only if the following three conditions hold: 1. The operator is injective (i.e., its kernel is the trivial subspace ). 2. The range of is not the entire space . 3. The resolvent operator is continuous on its domain.
Let be a complex Hilbert space and be a partially defined linear operator on . The residual spectrum of is a subset of the spectrum of .
Let be a complex Hilbert space and be a partially defined linear operator on . The residual spectrum of , denoted , is a subset of the regularity domain of .
Continuous spectrum of a partial linear map
The continuous spectrum of a partial linear map on a complex Hilbert space is the set of complex numbers such that the range of the operator is not a closed subset of , where denotes the identity operator.
Notation for the continuous spectrum
The notation denotes the continuous spectrum of a linear partially defined operator on a complex Hilbert space . It represents the set of complex numbers for which the range of the operator is dense in but its inverse is not continuous (equivalently, for a closed operator, the range is dense but not closed).
Let be a complex Hilbert space and be a partial linear map on . The continuous spectrum of , denoted by , is the set of complex numbers such that the range of the operator is not a closed subset of , where denotes the identity operator on .
iff is not closed
Let be a partial linear map on a complex Hilbert space . A complex number belongs to the continuous spectrum if and only if the range of the operator is not a closed subset of , where denotes the identity operator.
For a partial linear map on a complex Hilbert space , the continuous spectrum is a subset of the spectrum :
Spectrum Decomposition for a Closed Operator:
Let be a complex Hilbert space and be a closed partially defined linear operator on . The spectrum of is the union of its point spectrum , residual spectrum , and continuous spectrum : where: - The point spectrum is the set of such that is not injective. - The residual spectrum is the set of such that is injective with a continuous inverse on its range, but the range is not the whole space . - The continuous spectrum is the set of such that the range of is not a closed subset of .
The point spectrum and residual spectrum are disjoint:
For a partial linear operator on a complex Hilbert space , the point spectrum and the residual spectrum are disjoint sets; that is, their intersection is empty: This follows from the fact that consists of points where is not injective, while requires to be injective.
The Second Resolvent Identity for Two Operators
Let be a complex Hilbert space, and let and be partial linear operators on such that the domain of is contained in the domain of (). If is in the resolvent set of both operators (), then the following identity holds for their resolvent operators : where is the identity operator on .
First Resolvent Identity for Partial Linear Operators
Let be a complex Hilbert space and be a partial linear operator on with resolvent set . For any , let denote the resolvent operator. For any , the following identity holds: where the product on the right-hand side denotes the composition of operators.
