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Local separable trace-class determinant construction

Statement

Assume Countable Choice. Let K be a separable complex Hilbert space. For a trace-class operator T:K→K, define DT(z):=∑n≥0zntr⁡(ΛnT). This series converges locally uniformly on C, defines an entire function, and satisfies DT(0)=1 and DT′(0)=tr⁡(T). For every bounded finite-rank operator F:K→K and every finite-dimensional F-invariant subspace E with ran⁡F⊆E, DF(z)=det⁡E(IE+z(F∣E))(z∈C). The determinant on the zero-dimensional space is 1.

Facts & Assumptions

Given: Countable Choice, a separable complex Hilbert space K, a trace-class operator T:K→K, a bounded finite-rank operator F:K→K, and a finite-dimensional F-invariant subspace E containing ran⁡F.

[A1]

The exterior construction defines Λ0H=C and Λ0S=IC, gives the Gram determinant as the wedge inner product, realizes ΛnH as the antisymmetrizing-projection range, and makes the induced operator bounded and functorial with its stated wedge action. In degree one its antisymmetrizer is the identity, so Λ1S=S. (Hilbert exterior powers and induced operators)

[A2]

For trace-class S and n≥1, ΛnS is trace class and ∥ΛnS∥1≤∥S∥1n/n!; the degree-zero exterior operator is the identity on C. (Trace-norm bound for exterior powers of trace-class operators)

[A3]

For trace-class S, ∣tr⁡(S)∣≤∥S∥1. (Trace is absolutely convergent and basis independent)

[A4]

The real exponential factorial series ∑n≥0xn/n! converges absolutely for every real x. (The exponential series converges absolutely for every real argument)

[A5]

A complex power series converges absolutely and uniformly on every closed subdisc strictly inside its disc of convergence. (A complex power series converges absolutely and uniformly on every closed subdisc strictly inside its disc of convergence)

[A6]

Inside its disc of convergence a complex power series is holomorphic and its derivative is obtained term by term. (Inside its disc of convergence a complex power series is holomorphic and may be differentiated term by term)

[A8]

Every bounded finite-rank operator is compact, and every finite-rank operator is trace class. (Bounded finite rank operators are compact, Trace class operator)

[A9]

A finite-dimensional normed subspace, including the zero subspace, is closed. (A finite-dimensional normed subspace is closed)

[A10]

An invariant subspace E satisfies F(E)⊆E and the restriction F∣E:E→E is an endomorphism. (Invariant subspaces, restrictions, and induced quotient operators)

[A11]

For a closed subspace E of a Hilbert space, the orthogonal projection PE has PEx∈E and x−PEx∈E⊥; it is the identity on E and zero on E⊥. (The Hilbert orthogonal projection onto a closed subspace)

[A12]

If R is trace class and S is bounded, cyclicity gives tr⁡(RS)=tr⁡(SR). (Cyclicity of the trace)

[A13]

Every finite-dimensional inner-product space, including the zero space with its empty basis, has an orthonormal basis. (Every finite-dimensional real or complex inner product space has an orthonormal basis)

[A14]

The trace of an endomorphism of a finite-dimensional vector space is the matrix trace in any ordered basis, and the matrix trace is the sum of its diagonal entries. (The basis-independent trace of an endomorphism of a finite-dimensional vector space, The trace tr⁡(A) as the sum of the diagonal entries)

[A15]

In an ordered basis B, the matrix of an endomorphism has as its j-th column the coordinates of the image of the j-th basis vector. (Coordinate columns [v]B and matrices [T]BC of linear maps relative to ordered bases)

[A16]

In positive dimension, the determinant of a finite-dimensional endomorphism is the determinant of its matrix in an ordered basis; on the zero space it is 1. (The determinant of an endomorphism of a finite-dimensional vector space: its matrix determinant in an ordered basis in positive dimension, and 1 on the zero space)

[A17]

A square matrix determinant is the finite signed permutation sum in the Leibniz formula. (For n≥1, the determinant over a commutative ring by the Leibniz formula, and ∣det⁡A∣ for a real matrix)

[A18]

The inner product on a complex Hilbert space is linear in its first argument and conjugate-linear in its second. (Real and complex inner-product spaces and their induced length)

[A19]

A complex Hilbert space is an inner-product space complete in its induced norm. (Hilbert space)

[A20]

A topological space is separable when it has an at most countable dense subset. (Separability: the existence of an at most countable dense subset)

[A21]

Countable Choice is the exact choice assumption declared in the statement. The proof uses its trace-class, trace, cyclicity, and Hilbert-projection suppliers; it selects no basis of the whole space. (The Axiom of Countable Choice (ACω))

[A22]

The radius of a complex power series is the radius of the real power series formed from the absolute values of its coefficients. (Complex series, absolute convergence, complex power series, and radius of convergence)

[A23]

A bounded linear operator has an operator-norm bound ∥Tx∥≤∥T∥ ∥x∥. (A bounded linear operator between normed spaces)

[A24]

The Hilbert orthogonal projection is a bounded linear operator and is self-adjoint and idempotent. (Hilbert projections are linear, self-adjoint and contractive)

[A25]

The trace of a trace-class operator is computed by every nuclear representation Sx=∑j⟨x,uj⟩vj, as tr⁡(S)=∑j⟨vj,uj⟩. (Trace is absolutely convergent and basis independent)

Source audit: Kostenko's Proposition 3.4.3 gives the exterior-power trace-norm estimate and Corollary 3.4.1 states the entire-function conclusion, but its proof refers to Exercise 3.4.3 for the exterior absolute-value identity. That exercise is not used here; [A2] is the previously proved local exterior-power lemma. Van Neerven's Definition 14.34 gives the same series and factorial bound. Lemma 14.38 proves finite-dimensional reduction only when T=PTP for an orthogonal projection P; the present argument allows arbitrary invariant E and proves the reduction by exterior projection and trace cyclicity. Dyatlov–Zworski §B.5.2 gives the finite-rank compression determinant by nonzero eigenvalues; it is contextual support, not a substitute for the coefficient calculation below.

Proof

technique · direct

Given: The data in the statement; write cn:=tr⁡(ΛnT).

1.1A1A2A3A4A20A22

For n=0, Λ0T=IC, so c0=1. For n≥1, [A2] makes ΛnT trace class and [A3] gives ∣cn∣≤∥ΛnT∥1≤∥T∥1n/n!. Hence for each real R≥0, ∑n≥0∣cn∣Rn≤∑n≥0(R∥T∥1)nn!<∞ by [A4]. Since this holds at every radius, the complex power series has radius +∞ by [A22]. The separability hypothesis is the dense-subset condition [A20] and is retained, though this estimate uses only trace-class membership.

1.2A1A9A11A13A18A19A24

The finite-dimensional subspace E is closed by [A9], so [A11] supplies its orthogonal projection PE. It is bounded, linear and self-adjoint by [A24]. Its defining decomposition also gives PE2=PE. Choose an orthonormal basis e0,…,ed−1 of E by [A13], where d=dim⁡E and the list is empty if d=0. For each n≥0, put Hn:=ΛnK, Gn:=ΛnE⊆Hn, and Qn:=ΛnPE. The increasing wedges ei1∧⋯∧ein with i1<⋯<in are orthonormal by the Gram formula [A1]. They span Gn: every algebraic tensor in E⊗n expands in the basis tensors from (ej), and antisymmetrizing sends a repeated-index tensor to zero and every other one to a multiple of an increasing wedge; the algebraic tensors are dense and the projection range is closed. Thus this is a finite orthonormal basis of Gn, empty for n>d; for n=0, G0=C with basis 1. It follows that Gn is closed in Hn by [A9]. By functoriality in [A1], Qn2=Qn. For n=0, [A1] gives Q0=IC and G0=C, so Q0 is the orthogonal projection onto G0. For n≥1, on decomposable wedges the Gram identity and self-adjointness of PE give ⟨Qn(x1∧⋯∧xn),y1∧⋯∧yn⟩=det⁡[⟨PExi,yj⟩]=det⁡[⟨xi,PEyj⟩]=⟨x1∧⋯∧xn,Qn(y1∧⋯∧yn)⟩. Density of decomposable wedges makes Qn self-adjoint. It maps decomposable wedges into Gn and fixes every decomposable wedge in Gn; continuity and density therefore show that its range is exactly Gn. Thus Qn is the orthogonal projection onto Gn.

2.1A10A14A15A23step 1.2

Let d:=dim⁡E and use the basis (ej) chosen in step 1.2. By [A10], A:=F∣E is an endomorphism; for x∈E, [A23] gives ∥Ax∥=∥Fx∥≤∥F∥ ∥x∥, so A is bounded. Write its matrix as (aij), so Aej=∑i<daijei by [A15]. For each 0≤n≤d, the increasing wedges eI:=ei1∧⋯∧ein, with I=(i1<⋯<in), form the orthonormal basis of Gn established in step 1.2. Expanding ΛnA(eI)=Aei1∧⋯∧Aein by multilinearity and antisymmetry shows that its diagonal coefficient at eI is the principal minor det⁡A[I,I]. Thus [A14] yields tr⁡(ΛnA)=∑I⊆{0,…,d−1}, ∣I∣=ndet⁡A[I,I], with the n=0 term equal to 1; for n>d, Gn={0} and the trace is 0. When d=0 this says the sole coefficient is 1 in degree zero and all positive-degree coefficients vanish.

2.2step 1.1A5A6A7

By [A5], the series converges uniformly on every closed disk of finite radius, and so locally uniformly on C. Its infinite radius from step 1.1 and [A6] make its sum holomorphic on all of C; therefore DT is entire by [A7].

2.3step 1.1A1A6

The constant coefficient in step 1.1 gives DT(0)=1. The derivative formula in [A6] gives DT′(0)=c1=tr⁡(Λ1T)=tr⁡(T) by [A1].

3.1A8step 1.1step 2.1step 2.2

Let F be bounded and finite rank. By [A8], it is trace class, so the series defining DF is well-defined and the entire-function conclusion of steps 1.1 and 2.2 applies. Its restriction A:=F∣E is the bounded endomorphism established in step 2.1.

4.1A1A2A8A12step 1.2step 3.1

Since ran⁡F⊆E, the wedge action in [A1] gives ran⁡(ΛnF)⊆Gn, hence QnΛnF=ΛnF. Each ΛnF is trace class by [A2] for n≥1; for n=0 it is the finite-rank identity on C, trace class by [A8]. Cyclicity [A12] therefore gives tr⁡(ΛnF)=tr⁡((ΛnF)Qn).

5.1A14A18A25step 1.2step 4.1

Let ιn:Gn↪Hn be inclusion and let An:=Λn(F∣E). Use the finite orthonormal basis of Gn from step 1.2. Because Qn is its orthogonal projection, Qnx=∑j⟨x,gj⟩gj. On Gn, functoriality gives (ΛnF)ιn=ιnAn, and therefore ((ΛnF)Qn)x=∑j⟨x,gj⟩ ιn(Angj). This is a finite nuclear representation. By [A25] its trace is tr⁡((ΛnF)Qn)=∑j⟨ιn(Angj),gj⟩=tr⁡Gn(An), where the last equality is the finite-dimensional trace formula [A14]. This includes Gn={0}, when both traces are zero. Together with step 4.1, it proves tr⁡(ΛnF)=tr⁡(Λn(F∣E)) for every n≥0.

6.1A16A17step 2.1step 5.1

In the basis (ej), [A16] identifies det⁡E(IE+zA) with the determinant of the matrix (δij+zaij). Expanding its Leibniz formula [A17] and choosing the zA entry in precisely the columns indexed by a subset I forces the permutation to fix every column outside I; the remaining signed sum is z∣I∣det⁡A[I,I]. Grouping by ∣I∣=n and using step 2.1 gives det⁡E(IE+zA)=∑n=0dzntr⁡(ΛnA). By step 5.1, these coefficients equal tr⁡(ΛnF), and they vanish for n>d. Therefore the right side is exactly the series defining DF(z), proving the finite-rank identity for every z∈C. If d=0, step 2.1 makes this identity 1=1. The proof permits any finite-dimensional invariant E containing ran⁡F; it never assumes that E reduces F.

7.1A13A21step 1.1step 2.1step 2.3step 6.1∎

The empty exterior degree and z=0 are covered by steps 1.1 and 2.2. If F=0, then every positive-degree exterior power vanishes and the determinant is 1. A zero-dimensional E is handled in step 6.1. When dim⁡E=1, step 2.1 gives coefficients 1 and tr⁡(F∣E) and all higher coefficients vanish, matching the linear determinant; for every n>d, Gn={0} and the trace coefficient vanishes. Countable Choice is the exact declared assumption [A21]; the only bases chosen locally are finite-dimensional orthonormal bases [A13], and no full AC or DC is used.

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