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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

abbrev

Resolvent operator (TzI)1(T - zI)^{-1}

Let HH be a complex Hilbert space and T:D(T)HHT: D(T) \subseteq H \to H be a partial linear operator. For any complex number zCz \in \mathbb{C}, the resolvent of TT at zz is the partial linear operator defined as the inverse of TzIT - zI, where II denotes the identity operator on HH. This is denoted as (TzI)1(T - zI)^{-1}.

definition

Notation for the resolvent operator R\mathcal{R}

The symbol R\mathcal{R} is the notation used to represent the resolvent operator of a linear operator TT at a complex number zz. In spectral theory, this usually refers to the operator (TzI)1(T - zI)^{-1}.

definition

Lower bound cx(TzI)xc \|x\| \leq \|(T - zI) x\|

For a partially defined linear operator TT on a complex Hilbert space HH, a complex number zCz \in \mathbb{C}, and a real number cRc \in \mathbb{R}, the property `IsLowerBound T z c` states that for all xx in the domain of TT, the following inequality holds: cxTxzxc \|x\| \leq \|Tx - zx\| where \| \cdot \| denotes the norm in HH.

theorem

`IsLowerBound T z c` implies `IsLowerBound (-T) (-z) c`

Let TT be a partially defined linear operator on a complex Hilbert space HH, zz be a complex number, and cc be a real number. If the inequality cxTxzxc \|x\| \leq \|Tx - zx\| holds for all xx in the domain of TT, then the inequality cx(T)x(z)xc \|x\| \leq \|(-T)x - (-z)x\| holds for all xx in the domain of T-T.

theorem

c1c2 and IsLowerBound Tzc2    IsLowerBound Tzc1c_1 \le c_2 \text{ and } \text{IsLowerBound } T z c_2 \implies \text{IsLowerBound } T z c_1

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH. For any complex number zCz \in \mathbb{C} and real numbers c1,c2Rc_1, c_2 \in \mathbb{R}, if c1c2c_1 \le c_2 and the operator satisfies the lower bound condition c2xTxzxc_2 \|x\| \le \|Tx - zx\| for all xx in the domain of TT, then it also satisfies the lower bound condition c1xTxzxc_1 \|x\| \le \|Tx - zx\| for all xx in the domain of TT.

theorem

If T1T2T_1 \subseteq T_2, then T2T_2 having a lower bound implies T1T_1 has the same lower bound

Let HH be a complex Hilbert space. Let T1T_1 and T2T_2 be partially defined linear operators on HH such that T1T2T_1 \subseteq T_2 (that is, T2T_2 is an extension of T1T_1, meaning dom(T1)dom(T2)\text{dom}(T_1) \subseteq \text{dom}(T_2) and T1x=T2xT_1 x = T_2 x for all xdom(T1)x \in \text{dom}(T_1)). If T2T_2 satisfies a lower bound of the form cxT2xzxc \|x\| \le \|T_2 x - zx\| for some cRc \in \mathbb{R} and zCz \in \mathbb{C} for all xdom(T2)x \in \text{dom}(T_2), then T1T_1 satisfies the same lower bound cxT1xzxc \|x\| \le \|T_1 x - zx\| for all xdom(T1)x \in \text{dom}(T_1).

theorem

The lower bound cx(TzI)xc \|x\| \leq \|(T - z I)x\| for TT implies the same for its closure Tˉ\bar{T}

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH. For any complex number zCz \in \mathbb{C} and real number cRc \in \mathbb{R}, if TT satisfies the lower bound cx(TzI)xc \|x\| \leq \|(T - z I)x\| for all xx in the domain of TT, then the closure of the operator Tˉ\bar{T} also satisfies the lower bound cx(TˉzI)xc \|x\| \leq \|(\bar{T} - z I)x\| for all xx in the domain of Tˉ\bar{T}.

definition

Regularity domain of a partially defined linear operator TT

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH with domain D(T)HD(T) \subseteq H. The regularity domain of TT is the set of complex numbers zCz \in \mathbb{C} such that there exists a constant c>0c > 0 satisfying Txzxcx\|Tx - zx\| \geq c \|x\| for all xD(T)x \in D(T), where \|\cdot\| denotes the norm on HH.

theorem

reg(T)=reg(T)\text{reg}(-T) = -\text{reg}(T)

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH with domain D(T)HD(T) \subseteq H. Let reg(T)\text{reg}(T) denote the regularity domain of TT, which is the set of complex numbers zCz \in \mathbb{C} such that there exists a constant c>0c > 0 satisfying Txzxcx\|Tx - zx\| \geq c \|x\| for all xD(T)x \in D(T). Then the regularity domain of the negated operator T-T is the set of the negatives of the elements in the regularity domain of TT: reg(T)={zzreg(T)}.\text{reg}(-T) = \{ -z \mid z \in \text{reg}(T) \}.

theorem

regularityDomain(wT)=wregularityDomain(T)\text{regularityDomain}(wT) = w \cdot \text{regularityDomain}(T) for w0w \neq 0

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH with domain D(T)D(T). For any non-zero complex scalar wCw \in \mathbb{C}, the regularity domain of the scaled operator wTwT is equal to the scaling of the regularity domain of TT. That is, regularityDomain(wT)=wregularityDomain(T),\text{regularityDomain}(wT) = w \cdot \text{regularityDomain}(T), where wregularityDomain(T)={wzzregularityDomain(T)}w \cdot \text{regularityDomain}(T) = \{ wz \mid z \in \text{regularityDomain}(T) \}.

theorem

TT    regularityDomain(T)regularityDomain(T)T \leq T' \implies \text{regularityDomain}(T') \subseteq \text{regularityDomain}(T)

Let HH be a complex Hilbert space. For partially defined linear operators TT and TT' on HH, if TT' is an extension of TT (denoted TTT \leq T'), then the regularity domain of TT' is a subset of the regularity domain of TT: regularityDomain(T)regularityDomain(T).\text{regularityDomain}(T') \subseteq \text{regularityDomain}(T). (Note: TTT \leq T' means the domain D(T)D(T) is a subspace of D(T)D(T') and the operators agree on D(T)D(T)).

theorem

zregularityDomain(T)    ker(TzI)={0} and (TzI)1 is continuousz \in \text{regularityDomain}(T) \iff \ker(T - zI) = \{0\} \text{ and } (T - zI)^{-1} \text{ is continuous}

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH with domain D(T)HD(T) \subseteq H. A complex number zCz \in \mathbb{C} belongs to the regularity domain of TT if and only if the operator TzIT - zI (where II is the identity operator) is injective (i.e., its kernel is {0}\{0\}) and its inverse (TzI)1(T - zI)^{-1} is continuous.

theorem

If cx(TzI)xc \|x\| \leq \|(T - zI)x\|, then B(z,c)regularityDomain(T)B(z, c) \subseteq \text{regularityDomain}(T)

Let TT be a partially defined linear operator on a complex Hilbert space HH with domain D(T)D(T). If there exists a constant cRc \in \mathbb{R} such that cxTxzxc \|x\| \leq \|Tx - zx\| for all xD(T)x \in D(T) and some complex number zCz \in \mathbb{C}, then the open ball B(z,c)={wC:zw<c}B(z, c) = \{w \in \mathbb{C} : |z - w| < c\} is a subset of the regularity domain of TT.

theorem

The regularity domain of a partially defined linear operator TT is open

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH with domain D(T)HD(T) \subseteq H. The regularity domain of TT, defined as the set of complex numbers zCz \in \mathbb{C} for which there exists a constant c>0c > 0 such that Txzxcx\|Tx - zx\| \geq c\|x\| for all xD(T)x \in D(T), is an open subset of C\mathbb{C}.

theorem

reg(T)=reg(T)\text{reg}(\overline{T}) = \text{reg}(T)

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH with domain D(T)D(T). The regularity domain of TT, denoted as reg(T)\text{reg}(T), is the set of complex numbers zCz \in \mathbb{C} such that there exists a constant c>0c > 0 satisfying Txzxcx\|Tx - zx\| \geq c \|x\| for all xD(T)x \in D(T). This theorem states that the regularity domain of TT is equal to the regularity domain of its closure T\overline{T}: reg(T)=reg(T)\text{reg}(\overline{T}) = \text{reg}(T)

theorem

ran(TzI)=ran(TzI)\overline{\text{ran}(T - zI)} = \text{ran}(\overline{T} - zI) for regular zz

Let HH be a complex Hilbert space and TT be a closable partially defined linear operator on HH with closure T\overline{T}. If zCz \in \mathbb{C} belongs to the regularity domain of TT, then the closure of the range of TzIT - zI is equal to the range of TzI\overline{T} - zI: ran(TzI)=ran(TzI)\overline{\text{ran}(T - zI)} = \text{ran}(\overline{T} - zI) where II denotes the identity operator.

theorem

The range of TzIT - zI is closed for closed operators TT and zz in the regularity domain

Let HH be a complex Hilbert space and TT be a closed, partially defined linear operator on HH with domain D(T)D(T). If zCz \in \mathbb{C} belongs to the regularity domain of TT (meaning there exists a constant c>0c > 0 such that Txzxcx\|Tx - zx\| \geq c \|x\| for all xD(T)x \in D(T)), then the range of the operator TzIT - zI is a closed subspace of HH.

theorem

(ran(TˉzI))=ker(TzˉI)(\operatorname{ran}(\bar{T} - zI))^\perp = \ker(T^* - \bar{z}I)

Let HH be a Hilbert space and TT be an unbounded linear operator on HH. Let Tˉ\bar{T} denote the closure of TT and TT^* denote its adjoint. For any complex number zCz \in \mathbb{C}, the orthogonal complement of the range of TˉzI\bar{T} - zI is equal to the kernel of TzˉIT^* - \bar{z}I: (ran(TˉzI))=ker(TzˉI)(\operatorname{ran}(\bar{T} - zI))^\perp = \ker(T^* - \bar{z}I) where II is the identity operator on HH and zˉ\bar{z} is the complex conjugate of zz.

theorem

ker(TzˉI)=ran(TˉzI)\ker(T^\dagger - \bar{z}I)^\perp = \text{ran}(\bar{T} - zI) for zz in the regularity domain

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH. Let Tˉ\bar{T} denote the closure of TT and TT^\dagger denote the adjoint of TT. If zCz \in \mathbb{C} belongs to the regularity domain of TT, then the orthogonal complement of the kernel of TzˉIT^\dagger - \bar{z}I is equal to the range of TˉzI\bar{T} - zI: (ker(TzˉI))=ran(TˉzI) (\ker(T^\dagger - \bar{z}I))^\perp = \text{ran}(\bar{T} - zI) where II is the identity operator and zˉ\bar{z} is the complex conjugate of zz.

definition

Deficiency subspace of TT at zz

For a partial linear map TT on a Hilbert space HH and a complex number zCz \in \mathbb{C}, the deficiency subspace is the closed subspace of HH defined as the orthogonal complement of the range of the operator TzIT - zI, where II is the identity map on HH. It is denoted as Ran(TzI)\text{Ran}(T - zI)^\perp.

theorem

The deficiency subspace of TT at zz is (ran(TzI))(\text{ran}(T - zI))^\perp

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH. For any complex number zCz \in \mathbb{C}, the deficiency subspace of TT at zz is equal to the orthogonal complement of the range of the operator TzIT - zI, where II is the identity operator on HH: deficiencySubspace(T,z)=(ran(TzI)) \text{deficiencySubspace}(T, z) = (\text{ran}(T - zI))^\perp

definition

Defect number of TT at zz

For a partial linear map TT on a complex Hilbert space HH and a complex number zCz \in \mathbb{C}, the defect number is the dimension (rank) of the deficiency subspace at zz. This deficiency subspace is the orthogonal complement of the range of the operator TzIT - zI, where II is the identity map. The defect number is expressed as dim(Ran(TzI))\dim(\text{Ran}(T - zI)^\perp).

theorem

The defect number of TT at zz equals the dimension of the deficiency subspace of TT at zz

Let HH be a complex Hilbert space, TT be a partially defined linear operator on HH, and zCz \in \mathbb{C}. The defect number of TT at zz is equal to the dimension (rank) of the deficiency subspace of TT at zz over the field C\mathbb{C}.

theorem

For closed TT and zreg(T)z \in \text{reg}(T), defectNumber(z)=0    Ran(TzI)=H\text{defectNumber}(z) = 0 \iff \text{Ran}(T - zI) = H

Let HH be a complex Hilbert space and TT be a closed partially defined linear operator on HH. For any complex number zz in the regularity domain of TT, the defect number of TT at zz is equal to 00 if and only if the range of the operator TzIT - zI is the entire space HH, where II is the identity operator on HH.

theorem

The defect number of a linear operator and its closure are equal in the regularity domain

Let HH be a Hilbert space and TT be a partially defined linear operator on HH with closure Tˉ\bar{T}. If a complex number zCz \in \mathbb{C} belongs to the regularity domain of TT, then the defect number of Tˉ\bar{T} at zz is equal to the defect number of TT at zz. That is, dim(Ran(TˉzI))=dim(Ran(TzI))\text{dim}(\text{Ran}(\bar{T} - zI)^\perp) = \text{dim}(\text{Ran}(T - zI)^\perp) where II denotes the identity operator and \perp denotes the orthogonal complement.

theorem

EF{0}E^\perp \cap F \neq \{0\} if rank(E)<rank(F)\text{rank}(E) < \text{rank}(F)

Let EE and FF be submodules of a complex Hilbert space HH. Suppose EE admits an orthogonal projection. If the rank (dimension) of EE is strictly less than the rank of FF, then the intersection of the orthogonal complement of EE (denoted EE^\perp) and FF is non-trivial, i.e., EF{0}E^\perp \cap F \neq \{0\}.

theorem

Existence of x0x \neq 0 such that (Tz1I)x,(Tz2I)x=0\langle (T - z_1 I)x, (T - z_2 I)x \rangle = 0 if def(T,z1)<def(T,z2)\text{def}(T, z_1) < \text{def}(T, z_2) at a regular point z1z_1

Let HH be a complex Hilbert space and TT be a closed, partially defined linear operator on HH with domain D(T)D(T). Suppose z1Cz_1 \in \mathbb{C} is in the regularity domain of TT (meaning there exists c>0c > 0 such that Txz1xcx\|Tx - z_1 x\| \geq c \|x\| for all xD(T)x \in D(T)). If the defect number of TT at z1z_1 is strictly less than the defect number of TT at z2z_2, where the defect number is defined as the dimension of the orthogonal complement of the range of TzIT - zI, then there exists a non-zero vector xD(T)x \in D(T) such that the inner product of (Tz1I)x(T - z_1 I)x and (Tz2I)x(T - z_2 I)x is zero: (Tz1I)x,(Tz2I)x=0.\langle (T - z_1 I)x, (T - z_2 I)x \rangle = 0.

theorem

The defect number of a closable operator is constant on a ball B(z1,c)B(z_1, c) if cc is a lower bound for Tz1IT - z_1 I

Let HH be a complex Hilbert space and TT be a closable partially defined linear operator on HH. Suppose there exists a real number cc such that for all xx in the domain of TT, the inequality cx(Tz1I)xc \|x\| \leq \|(T - z_1 I) x\| holds. If z2Cz_2 \in \mathbb{C} is a complex number such that z2z1<c|z_2 - z_1| < c, then the defect number of TT at z1z_1 is equal to the defect number of TT at z2z_2, where the defect number at zz is the dimension of the orthogonal complement of the range of TzIT - zI, denoted by dim(Ran(TzI))\dim(\text{Ran}(T - zI)^\perp).

theorem

The defect number is constant on each connected component of the regularity domain

Let HH be a complex Hilbert space and TT be a closable partially defined linear operator on HH. If z1z_1 and z2z_2 are complex numbers belonging to the same connected component of the regularity domain of TT, then the defect numbers of TT at z1z_1 and z2z_2 are equal: defectNumber(T,z1)=defectNumber(T,z2)\text{defectNumber}(T, z_1) = \text{defectNumber}(T, z_2) where the defect number at zz is the dimension of the orthogonal complement of the range of the operator TzIT - zI.

definition

Numerical range Θ(T)\Theta(T)

The numerical range of a linear partially defined operator TT on a complex Hilbert space HH is the set of all complex numbers x,Tx\langle x, Tx \rangle for vectors xx in the domain D(T)\mathcal{D}(T) with unit norm x=1\|x\| = 1. It is defined as: Θ(T)={x,TxCxD(T),x=1}\Theta(T) = \{ \langle x, Tx \rangle \in \mathbb{C} \mid x \in \mathcal{D}(T), \|x\| = 1 \} where ,\langle \cdot, \cdot \rangle denotes the complex inner product.

definition

Notation for the numerical range Θ(T)\Theta(T)

For a linear partially defined map TT on a complex Hilbert space HH, the symbol Θ\Theta denotes its numerical range, which is defined as the set of all complex numbers of the form x,Tx\langle x, Tx \rangle where xx is a unit vector in the domain of TT: Θ(T)={x,Txxdom(T),x=1}\Theta(T) = \{ \langle x, Tx \rangle \mid x \in \text{dom}(T), \|x\| = 1 \} where ,\langle \cdot, \cdot \rangle denotes the inner product on HH.

theorem

Θ(T)={x,TxxD(T),x=1}\Theta(T) = \{ \langle x, Tx \rangle \mid x \in \mathcal{D}(T), \|x\| = 1 \}

Let TT be a linear partially defined operator on a complex Hilbert space HH. The numerical range Θ(T)\Theta(T) is the set of all complex numbers x,Tx\langle x, Tx \rangle where xx ranges over the vectors in the domain D(T)\mathcal{D}(T) with unit norm x=1\|x\| = 1: Θ(T)={x,TxxD(T),x=1}\Theta(T) = \{ \langle x, Tx \rangle \mid x \in \mathcal{D}(T), \|x\| = 1 \} where ,\langle \cdot, \cdot \rangle denotes the complex inner product.

theorem

x,Txx2Θ(T)\frac{\langle x, Tx \rangle}{\|x\|^2} \in \Theta(T) for non-zero xx

Let HH be a complex Hilbert space and TT be a linear partially defined operator on HH with domain D(T)\mathcal{D}(T). For any non-zero vector xD(T)x \in \mathcal{D}(T), the complex number x,Txx2\frac{\langle x, Tx \rangle}{\|x\|^2} belongs to the numerical range Θ(T)\Theta(T), where ,\langle \cdot, \cdot \rangle denotes the complex inner product and \|\cdot\| denotes the norm.

theorem

domain(T){0}    Θ(T)\text{domain}(T) \neq \{0\} \implies \Theta(T) \neq \emptyset

Let HH be a complex Hilbert space and TT be a linear partially defined operator on HH. If the domain of TT, denoted D(T)D(T), is not the zero subspace {0}\{0\}, then its numerical range Θ(T)={x,TxCxD(T),x=1}\Theta(T) = \{ \langle x, Tx \rangle \in \mathbb{C} \mid x \in D(T), \|x\| = 1 \} is non-empty.

theorem

Θ(T)=Θ(T)\Theta(-T) = -\Theta(T)

Let TT be a linear partially defined operator on a complex Hilbert space HH. The numerical range of TT, denoted Θ(T)\Theta(T), is the set of all complex numbers x,Tx\langle x, Tx \rangle for unit vectors xx in the domain of TT. This theorem states that the numerical range of the operator T-T is the negative of the numerical range of TT: Θ(T)=Θ(T)\Theta(-T) = -\Theta(T) where Θ(T)={zzΘ(T)}-\Theta(T) = \{ -z \mid z \in \Theta(T) \}.

theorem

Θ(cT)=cΘ(T)\Theta(cT) = c\Theta(T) for a partially defined linear operator TT

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH. For any complex number cCc \in \mathbb{C}, the numerical range of the operator cTcT satisfies the equality Θ(cT)=cΘ(T)\Theta(cT) = c \Theta(T), where cΘ(T)={czzΘ(T)}c \Theta(T) = \{ cz \mid z \in \Theta(T) \}.

theorem

Θ(TcI)=Θ(T)c\Theta(T - cI) = \Theta(T) - c

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH with domain D(T)\mathcal{D}(T). For any complex number cCc \in \mathbb{C}, the numerical range of the operator TcIT - cI (where II is the identity operator) is the translation of the numerical range of TT by c-c: Θ(TcI)=Θ(T)c\Theta(T - cI) = \Theta(T) - c where Θ(T)={x,TxCxD(T),x=1}\Theta(T) = \{ \langle x, Tx \rangle \in \mathbb{C} \mid x \in \mathcal{D}(T), \|x\| = 1 \} and the subtraction on the right-hand side is defined pointwise as Θ(T)c={zczΘ(T)}\Theta(T) - c = \{ z - c \mid z \in \Theta(T) \}.

theorem

The exterior of the numerical range (Θ(T))c(\overline{\Theta(T)})^c is contained in the regularity domain of TT.

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH with domain D(T)\mathcal{D}(T). Let Θ(T)\Theta(T) be the numerical range of TT, defined as Θ(T)={x,TxCxD(T),x=1}.\Theta(T) = \{ \langle x, Tx \rangle \in \mathbb{C} \mid x \in \mathcal{D}(T), \|x\| = 1 \}. The regularity domain of TT is the set of complex numbers zCz \in \mathbb{C} for which there exists a constant c>0c > 0 such that Txzxcx\|Tx - zx\| \geq c \|x\| for all xD(T)x \in \mathcal{D}(T). Then, the complement of the closure of the numerical range is contained in the regularity domain of TT: (Θ(T))cregularityDomain(T)(\overline{\Theta(T)})^c \subseteq \text{regularityDomain}(T)

theorem

The Toeplitz-Hausdorff Theorem: The Numerical Range Θ(T)\Theta(T) is Convex

Let HH be a complex Hilbert space and TT be a linear partially defined operator on HH with domain D(T)\mathcal{D}(T). The numerical range of TT, denoted by Θ(T)\Theta(T) and defined as the set of values Θ(T)={x,TxCxD(T),x=1},\Theta(T) = \{ \langle x, Tx \rangle \in \mathbb{C} \mid x \in \mathcal{D}(T), \|x\| = 1 \}, is a convex subset of the complex plane C\mathbb{C}. This result is known as the Toeplitz-Hausdorff theorem.

definition

Resolvent set ρ(T)\rho(T) of a partial linear operator TT

Let HH be a complex Hilbert space and TT be a linear partially defined operator on HH with domain D(T)D(T). The resolvent set ρ(T)\rho(T) is the set of complex numbers zCz \in \mathbb{C} such that the operator TzIT - zI (where II is the identity operator) is a bijection from D(T)D(T) to HH, and its inverse (TzI)1(T - zI)^{-1} is a continuous linear operator. Specifically, zρ(T)z \in \rho(T) if and only if the kernel of TzIT - zI is trivial, the range of TzIT - zI is the entire space HH, and the resolvent operator (TzI)1(T - zI)^{-1} is continuous.

definition

Notation for the resolvent set ρ(T)\rho(T)

The notation ρ\rho denotes the resolvent set of a linear partially defined operator TT on a Hilbert space HH. A complex number zz belongs to the resolvent set ρ(T)\rho(T) if the operator TzIT - z I (where II is the identity) has a continuous inverse (TzI)1(T - z I)^{-1} with a domain equal to the entire space HH.

theorem

Characterization of the resolvent set ρ(T)\rho(T)

Let HH be a complex Hilbert space and T:D(T)HHT: D(T) \subseteq H \to H be a partial linear operator. The resolvent set ρ(T)\rho(T) is the set of all complex numbers zCz \in \mathbb{C} such that the operator TzIT - zI (where II is the identity operator) has a trivial kernel, its range is the entire space HH, and the resolvent operator (TzI)1(T - zI)^{-1} is continuous. In symbols: ρ(T)={zCker(TzI)={0},ran(TzI)=H, and (TzI)1 is continuous}.\rho(T) = \{z \in \mathbb{C} \mid \ker(T - zI) = \{0\}, \text{ran}(T - zI) = H, \text{ and } (T - zI)^{-1} \text{ is continuous}\}.

theorem

zρ(T)z \in \rho(T) iff TzIT - zI is bijective with a continuous inverse

Let HH be a complex Hilbert space and TT be a partial linear operator on HH with domain D(T)D(T). For any complex number zCz \in \mathbb{C}, zz belongs to the resolvent set ρ(T)\rho(T) if and only if the following three conditions are satisfied: 1. The kernel of the operator TzIT - zI is trivial, i.e., ker(TzI)={0}\ker(T - zI) = \{0\}. 2. The range of the operator TzIT - zI is the entire space HH, i.e., ran(TzI)=H\text{ran}(T - zI) = H. 3. The resolvent operator R(T,z)=(TzI)1R(T, z) = (T - zI)^{-1} is continuous.

theorem

The Resolvent Set of a Non-Closed Operator is Empty (ρ(T)=\rho(T) = \emptyset)

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH. If TT is not a closed operator, then its resolvent set ρ(T)\rho(T) is the empty set \emptyset.

theorem

The resolvent set ρ(T)\rho(T) is a subset of the regularity domain of TT

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH with domain D(T)D(T). The resolvent set ρ(T)\rho(T) is a subset of the regularity domain of TT. That is, for any zρ(T)z \in \rho(T), there exists a constant c>0c > 0 such that Txzxcx\|Tx - zx\| \geq c \|x\| for all xD(T)x \in D(T).

theorem

ρ(T)={zCker(TzI)={0},ran(TzI)=H}\rho(T) = \{z \in \mathbb{C} \mid \ker(T - zI) = \{0\}, \text{ran}(T - zI) = H\} for Closed Operators

Let HH be a complex Hilbert space and TT be a closed, partially defined linear operator on HH. The resolvent set ρ(T)\rho(T) consists of all complex numbers zCz \in \mathbb{C} such that the operator TzIT - zI is a bijection from its domain to HH. Specifically, for a closed operator TT, zρ(T)z \in \rho(T) if and only if the kernel of TzIT - zI is trivial and its range is the entire space HH: ρ(T)={zCker(TzI)={0} and ran(TzI)=H}.\rho(T) = \{z \in \mathbb{C} \mid \ker(T - zI) = \{0\} \text{ and } \text{ran}(T - zI) = H\}. (Note: For closed operators, the requirement that the inverse (TzI)1(T - zI)^{-1} be continuous is automatically satisfied by the bounded inverse theorem and is thus redundant in this characterization.)

theorem

The Resolvent Set ρ(T)\rho(T) of a Closed Operator equals the Set of Regular Points with Zero Defect Number

Let HH be a complex Hilbert space and TT be a closed, partially defined linear operator on HH. The resolvent set ρ(T)\rho(T) is equal to the intersection of the regularity domain of TT and the set of complex numbers zCz \in \mathbb{C} for which the defect number of TT at zz is zero.

theorem

The Resolvent Set ρ(T)\rho(T) is Open

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH. The resolvent set ρ(T)\rho(T) of TT is an open subset of the complex plane C\mathbb{C}.

definition

Spectrum σ(T)\sigma(T) of a partially defined linear operator TT

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH with domain D(T)D(T). The spectrum σ(T)\sigma(T) is the set of complex numbers zCz \in \mathbb{C} that are not in the resolvent set ρ(T)\rho(T). Formally, σ(T)=Cρ(T)\sigma(T) = \mathbb{C} \setminus \rho(T). A complex number zz belongs to the spectrum if and only if the operator TzIT - zI (where II is the identity mapping on D(T)D(T)) either fails to be bijective as a map from D(T)D(T) to HH, or its inverse (TzI)1(T - zI)^{-1} is not a continuous linear operator.

definition

Notation for the spectrum σ\sigma

This notation introduces the symbol σ\sigma to represent the spectrum of a partially defined linear operator TT (a `LinearPMap`). The spectrum σ(T)\sigma(T) is defined as the complement of the resolvent set ρ(T)\rho(T) in the complex plane C\mathbb{C}.

theorem

σ(T)=ρ(T)c\sigma(T) = \rho(T)^c

For a partially defined linear operator TT on a complex Hilbert space HH, the spectrum σ(T)\sigma(T) is the complement of the resolvent set ρ(T)\rho(T) in the complex plane, that is σ(T)=Cρ(T)\sigma(T) = \mathbb{C} \setminus \rho(T).

theorem

Characterization of zσ(T)z \in \sigma(T) for partially defined linear operators

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH. For any complex number zCz \in \mathbb{C}, zz belongs to the spectrum σ(T)\sigma(T) if and only if at least one of the following conditions is satisfied: - The operator TzIT - zI is not injective, i.e., its kernel is non-trivial: ker(TzI){0}\ker(T - zI) \neq \{0\}. - The operator TzIT - zI is not surjective, i.e., its range is not the whole space: ran(TzI)H\text{ran}(T - zI) \neq H. - The resolvent operator (TzI)1(T - zI)^{-1} is not continuous.

theorem

The spectrum of a non-closed operator is C\mathbb{C}

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH. If TT is not a closed operator, then its spectrum σ(T)\sigma(T) is the set of all complex numbers, that is, σ(T)=C\sigma(T) = \mathbb{C}.

theorem

The spectrum σ(T)\sigma(T) is closed

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH. Then the spectrum σ(T)\sigma(T) is a closed subset of the complex plane C\mathbb{C}.

definition

Point spectrum σp(T)\sigma^p(T) of a partial linear map

Given a partial linear map TT on a complex Hilbert space HH, the **point spectrum** σp(T)\sigma^p(T) is the set of complex numbers zCz \in \mathbb{C} such that the operator TzIT - z I is not injective, where II is the identity operator. This set corresponds to the eigenvalues of TT, as it consists of all zz for which the kernel of TzIT - z I contains a non-zero vector.

definition

Notation for the point spectrum σp\sigma^p

For a linear operator TT acting on a complex Hilbert space HH, the notation σp\sigma^p denotes the **point spectrum** of TT. This set consists of all complex numbers λC\lambda \in \mathbb{C} such that the operator TλIT - \lambda I is not injective, meaning there exists a non-zero vector xx in the domain of TT such that Tx=λxTx = \lambda x. In other words, σp\sigma^p is the set of all eigenvalues of TT.

theorem

Point spectrum σp(T)={zCker(TzI){0}}\sigma_p(T) = \{z \in \mathbb{C} \mid \ker(T - zI) \neq \{0\}\}

Let HH be a complex Hilbert space and TT be a partial linear map on HH. The point spectrum σp(T)\sigma_p(T) is the set of complex numbers zCz \in \mathbb{C} such that the kernel of the operator TzIT - zI is not the trivial subspace {0}\{0\}, where II is the identity operator. That is, σp(T)={zCker(TzI){0}}.\sigma_p(T) = \{z \in \mathbb{C} \mid \ker(T - zI) \neq \{0\}\}.

theorem

zσp(T)    ker(TzI){0}z \in \sigma^p(T) \iff \ker(T - zI) \neq \{0\}

Let HH be a complex Hilbert space and TT be a partial linear map on HH. A complex number zCz \in \mathbb{C} belongs to the point spectrum σp(T)\sigma^p(T) if and only if the kernel of the operator TzIT - zI is not the trivial subspace {0}\{0\}, where II denotes the identity operator.

theorem

σp(T)σ(T)\sigma^p(T) \subseteq \sigma(T)

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH. The point spectrum σp(T)\sigma^p(T) of TT is a subset of the spectrum σ(T)\sigma(T) of TT: σp(T)σ(T).\sigma^p(T) \subseteq \sigma(T).

definition

Residual spectrum σr(T)\sigma^r(T) of a partial linear operator TT

Let HH be a complex Hilbert space and T:D(T)HHT: D(T) \subseteq H \to H be a partial linear operator. The residual spectrum of TT, denoted by σr(T)\sigma^r(T), is the set of complex numbers zCz \in \mathbb{C} such that the operator TzIT - zI (where II is the identity operator) is injective, its range ran(TzI)\text{ran}(T - zI) is not the entire space HH, and the inverse operator (TzI)1(T - zI)^{-1} is continuous on its domain.

definition

Notation for the residual spectrum σr(T)\sigma^r(T)

The notation σr\sigma^r denotes the residual spectrum of a linear partially defined operator TT. It represents the set of complex numbers zCz \in \mathbb{C} such that the operator TzIT - z I is injective and has a continuous inverse whose domain (the range of TzIT - z I) is not the entire space HH.

theorem

Characterization of the residual spectrum σr(T)\sigma^r(T)

Let HH be a complex Hilbert space and TT be a partial linear operator on HH. The residual spectrum of TT, denoted by σr(T)\sigma^r(T), is the set of complex numbers zCz \in \mathbb{C} such that the operator TzIT - zI (where II is the identity operator) is injective (ker(TzI)={0}\ker(T - zI) = \{0\}), the range of TzIT - zI is not the entire space HH (ran(TzI)H\text{ran}(T - zI) \neq H), and the resolvent operator (TzI)1(T - zI)^{-1} is continuous on its domain.

theorem

Characterization of the Residual Spectrum zσr(T)z \in \sigma^r(T)

Let HH be a complex Hilbert space and T:D(T)HHT: D(T) \subseteq H \to H be a partial linear operator. A complex number zCz \in \mathbb{C} belongs to the residual spectrum σr(T)\sigma^r(T) if and only if the following three conditions hold: 1. The operator TzIT - zI is injective (i.e., its kernel is the trivial subspace {0}\{0\}). 2. The range of TzIT - zI is not the entire space HH. 3. The resolvent operator (TzI)1(T - zI)^{-1} is continuous on its domain.

theorem

σr(T)σ(T)\sigma^r(T) \subseteq \sigma(T)

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH. The residual spectrum σr(T)\sigma^r(T) of TT is a subset of the spectrum σ(T)\sigma(T) of TT.

theorem

σr(T)regularityDomain(T)\sigma^r(T) \subseteq \text{regularityDomain}(T)

Let HH be a complex Hilbert space and TT be a partially defined linear operator on HH. The residual spectrum of TT, denoted σr(T)\sigma^r(T), is a subset of the regularity domain of TT.

definition

Continuous spectrum σc(T)\sigma^c(T) of a partial linear map

The continuous spectrum σc(T)\sigma^c(T) of a partial linear map TT on a complex Hilbert space HH is the set of complex numbers zCz \in \mathbb{C} such that the range of the operator TzIT - zI is not a closed subset of HH, where II denotes the identity operator.

definition

Notation σc\sigma^c for the continuous spectrum

The notation σc\sigma^c denotes the continuous spectrum of a linear partially defined operator TT on a complex Hilbert space HH. It represents the set of complex numbers zz for which the range of the operator TzIT - zI is dense in HH but its inverse is not continuous (equivalently, for a closed operator, the range is dense but not closed).

theorem

σc(T)={zCran(TzI) is not closed}\sigma^c(T) = \{z \in \mathbb{C} \mid \operatorname{ran}(T - zI) \text{ is not closed}\}

Let HH be a complex Hilbert space and TT be a partial linear map on HH. The continuous spectrum of TT, denoted by σc(T)\sigma^c(T), is the set of complex numbers zCz \in \mathbb{C} such that the range of the operator TzIT - zI is not a closed subset of HH, where II denotes the identity operator on HH. σc(T)={zCrange(TzI) is not closed}\sigma^c(T) = \{z \in \mathbb{C} \mid \text{range}(T - zI) \text{ is not closed}\}

theorem

zσc(T)z \in \sigma^c(T) iff ran(TzI)\text{ran}(T - zI) is not closed

Let TT be a partial linear map on a complex Hilbert space HH. A complex number zCz \in \mathbb{C} belongs to the continuous spectrum σc(T)\sigma^c(T) if and only if the range of the operator TzIT - zI is not a closed subset of HH, where II denotes the identity operator.

theorem

σc(T)σ(T)\sigma^c(T) \subseteq \sigma(T)

For a partial linear map TT on a complex Hilbert space HH, the continuous spectrum σc(T)\sigma^c(T) is a subset of the spectrum σ(T)\sigma(T): σc(T)σ(T)\sigma^c(T) \subseteq \sigma(T)

theorem

Spectrum Decomposition for a Closed Operator: σ(T)=σp(T)σr(T)σc(T)\sigma(T) = \sigma^p(T) \cup \sigma^r(T) \cup \sigma^c(T)

Let HH be a complex Hilbert space and TT be a closed partially defined linear operator on HH. The spectrum σ(T)\sigma(T) of TT is the union of its point spectrum σp(T)\sigma^p(T), residual spectrum σr(T)\sigma^r(T), and continuous spectrum σc(T)\sigma^c(T): σ(T)=σp(T)σr(T)σc(T)\sigma(T) = \sigma^p(T) \cup \sigma^r(T) \cup \sigma^c(T) where: - The point spectrum σp(T)\sigma^p(T) is the set of zCz \in \mathbb{C} such that TzIT - zI is not injective. - The residual spectrum σr(T)\sigma^r(T) is the set of zCz \in \mathbb{C} such that TzIT - zI is injective with a continuous inverse on its range, but the range is not the whole space HH. - The continuous spectrum σc(T)\sigma^c(T) is the set of zCz \in \mathbb{C} such that the range of TzIT - zI is not a closed subset of HH.

theorem

The point spectrum and residual spectrum are disjoint: σp(T)σr(T)=\sigma^p(T) \cap \sigma^r(T) = \emptyset

For a partial linear operator TT on a complex Hilbert space HH, the point spectrum σp(T)\sigma^p(T) and the residual spectrum σr(T)\sigma^r(T) are disjoint sets; that is, their intersection is empty: σp(T)σr(T)=\sigma^p(T) \cap \sigma^r(T) = \emptyset This follows from the fact that σp(T)\sigma^p(T) consists of points where TzIT - zI is not injective, while σr(T)\sigma^r(T) requires TzIT - zI to be injective.

theorem

The Second Resolvent Identity for Two Operators

Let HH be a complex Hilbert space, and let T1T_1 and T2T_2 be partial linear operators on HH such that the domain of T2T_2 is contained in the domain of T1T_1 (D(T2)D(T1)D(T_2) \subseteq D(T_1)). If zCz \in \mathbb{C} is in the resolvent set of both operators (zρ(T1)ρ(T2)z \in \rho(T_1) \cap \rho(T_2)), then the following identity holds for their resolvent operators R(z,T)=(TzI)1R(z, T) = (T - zI)^{-1}: R(z,T1)R(z,T2)=R(z,T1)(T2T1)R(z,T2)R(z, T_1) - R(z, T_2) = R(z, T_1)(T_2 - T_1)R(z, T_2) where II is the identity operator on HH.

theorem

First Resolvent Identity for Partial Linear Operators

Let HH be a complex Hilbert space and TT be a partial linear operator on HH with resolvent set ρ(T)\rho(T). For any zρ(T)z \in \rho(T), let R(z)=(TzI)1R(z) = (T - zI)^{-1} denote the resolvent operator. For any z1,z2ρ(T)z_1, z_2 \in \rho(T), the following identity holds: R(z1)R(z2)=(z1z2)R(z1)R(z2)R(z_1) - R(z_2) = (z_1 - z_2) R(z_1) R(z_2) where the product on the right-hand side denotes the composition of operators.