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A residual and a spectral separation bound an invariant-subspace gap

Statement

Assume Countable Choice (The Axiom of Countable Choice (ACω)). Let H be a real or complex Hilbert space and let Bh:H→H be compact and self-adjoint. Put Σh:={0}∪{ν≠0:ν is an eigenvalue of Bh}. Let Λ⊆Σh∖{0} be a finite cluster of nonzero eigenvalues, let F be the sum of their eigenspaces, and assume Δ:=inf⁡{∣μ−ν∣:ν∈Σh∖Λ}>0 for a real number μ. The compact spectral theorem makes F finite-dimensional. Define the directed Hilbert-space gap by gap⁡(E,F):=sup⁡u∈E∥u∥=1inf⁡v∈F∥u−v∥. If E⊆H is a nonzero finite-dimensional subspace and ∥(Bh−μI)u∥≤ε∥u∥(u∈E), then gap⁡(E,F)≤ε/Δ. The estimate compares subspaces and makes no choice of eigenvectors in a multiple eigenspace.

Facts & Assumptions

Given: Countable Choice, the compact self-adjoint operator Bh, its spectral cluster Λ and invariant subspace F, the real number μ, and the residual bound on E.

[F1]

The eigenspaces of a compact self-adjoint operator are mutually orthogonal and its spectral projections give a norm-convergent orthogonal expansion; the kernel is the orthogonal complement of the nonzero spectral subspace (Spectral theorem for compact self adjoint operators).

[F2]

For a closed subspace F of a Hilbert space, every u has an orthogonal decomposition u=PFu+(I−PF)u, with dist⁡(u,F)=∥(I−PF)u∥ (Orthogonal decomposition by a closed subspace).

Proof

technique · direct

Given: Bh, F, Λ, Δ>0, E, μ, and ε≥0 as in the statement.

1.1F1F2given

Fix u∈E. Decompose u=PFu+(I−PF)u using [F2]. The spectral projection PF commutes with Bh because F is a sum of whole eigenspaces. By [F1], the orthogonal spectral expansion of (Bh−μI)u on F⊥ contains only nonzero eigenvalues outside Λ and the kernel component; all their multipliers belong to Σh∖Λ and are at distance at least Δ from μ. Parseval therefore gives ∥(Bh−μI)u∥2≥Δ2∥(I−PF)u∥2.

2.1F2step 1.1givenalgebra∎

If u≠0, divide step 1.1 by Δ2∥u∥2 and take square roots to obtain dist⁡(u,F)/∥u∥≤ε/Δ. The same bound is vacuous for u=0. Taking the supremum over nonzero u∈E proves the stated directed gap estimate.

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