Alphabeta Math
TheoremStatement: AI-adaptedProof: AI-adaptedPipeline-generatedaudited 2026-09-22
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Numerical radius is an equivalent operator norm

Statement

Assume AC. On a complex Hilbert space, w is a norm with w(T)≤∥T∥≤2w(T) for every bounded T; if T is normal, then w(T)=∥T∥.

Facts & Assumptions

[A1]

On a nonzero space, W(T)={⟨Tx,x⟩:∥x∥=1} and w(T)=sup⁡{∣z∣:z∈W(T)}, with 0≤w(T)≤∥T∥ and W(λT)=λW(T) (Numerical range and numerical radius). On the zero space, W(0)={0} and w(0)=0 by the same convention. For every vector z, ∣⟨Tz,z⟩∣≤w(T)∥z∥2: this is immediate for z=0, and otherwise follows by applying the unit-vector definition to z/∥z∥.

[A3]

∥Tx∥≤∥T∥ ∥x∥ and ∥T∥=sup⁡{∥Tx∥:∥x∥≤1}; in particular for ∥x∥=∥y∥=1 one has ∣⟨Tx,y⟩∣≤∥T∥ (The operator norm as the least bound and as the unit-sphere or unit-ball supremum). On a nonzero domain the same supremum may be taken over ∥x∥=1; on a zero domain the unit-ball supremum is 0.

[A4]

⟨S∗x,y⟩=⟨x,Sy⟩, and T−λI is normal whenever T is normal (The Hilbert-space adjoint of a bounded operator, Hilbert-adjoint identities, Self-adjoint, positive, unitary and normal operators). Indeed the adjoint of T−λI is T∗−λ‾I, and expanding the products in both orders shows their difference is TT∗−T∗T.

[A5]

For a normal operator on a nonzero complex Hilbert space, ∥T∥=r(T)=max⁡{∣λ∣:λ∈σ(T)} (Normal operator norm equals spectral radius).

[A6]

λ∈σ(T) exactly when T−λI is not bijective with bounded inverse (Spectrum and resolvent of a bounded operator).

[A7]

(ran⁡S)⊥=ker⁡S∗ and ran⁡S‾=(ker⁡S∗)⊥; a Hilbert space is complete, and H=ker⁡S⊕(ker⁡S)⊥ for the closed kernel (Kernel–range orthogonality for Hilbert adjoints, Hilbert space, Orthogonal decomposition by a closed subspace).

[A8]

The inner product is linear in the first and conjugate-linear in the second variable (Real and complex inner product spaces, with the inner product linear in the first argument). Its norm satisfies the parallelogram law (The parallelogram law). Complex modulus satisfies the triangle inequality (Conjugation is an involutive real-field automorphism, zz‾=∣z∣2, and modulus is definite, multiplicative, and subadditive, Real and imaginary parts, complex conjugation, and modulus). Polarization of the possibly non-Hermitian form ⟨Tx,y⟩ below is proved by expansion, not by applying a theorem for inner products to that form.

[A9]

AC supplies the spectral-radius hypothesis and all countable selections made here (The Axiom of Choice). The reciprocal Archimedean property gives 1/(n+1)→0 (For every ε>0 in a complete ordered field there is a natural n≥1 with 1/n<ε).

Proof

technique · direct

Given: AC, a complex Hilbert space H and bounded operators S,T∈B(H). Steps 1.1–3.2 treat H≠{0}; the zero space is treated explicitly in step 4.1.

1.1A3A8algebra

For arbitrary vectors x,y the expansion of the complex sesquilinear form B(x,y):=⟨Tx,y⟩ gives 4B(x,y)=B(x+y,x+y)−B(x−y,x−y)+iB(x+iy,x+iy)−iB(x−iy,x−iy).

1.2A2A3algebra

sup⁡{∣⟨Tx,y⟩∣:∥x∥≤1,∥y∥≤1}=∥T∥: the upper bound is Cauchy–Schwarz and the operator-norm bound, and taking y=Tx/∥Tx∥ when Tx≠0 recovers ∥Tx∥. The same supremum over unit x,y equals ∥T∥: [A3] gives the unit-sphere formula for the operator norm on nonzero H, and the preceding choice of y works whenever Tx≠0; when T=0 all values are zero.

1.3A1A8algebra

If w(T)=0 then ⟨Tx,x⟩=0 for every x, and applying the expansion of the form (x,y)↦⟨Tx,y⟩ to the zero diagonal values gives ⟨Tx,y⟩=0 for all x,y, hence T=0.

1.4A4algebra

If S is normal, then ∥S∗x∥=∥Sx∥ for every x, because ∥S∗x∥2=⟨SS∗x,x⟩=⟨S∗Sx,x⟩=∥Sx∥2.

2.1step 1.3A1algebra

w is a norm on B(H): homogeneity is w(λT)=∣λ∣w(T) from W(λT)=λW(T), the triangle inequality follows from ∣⟨(S+T)x,x⟩∣≤∣⟨Sx,x⟩∣+∣⟨Tx,x⟩∣≤w(S)+w(T) on unit vectors, and definiteness is step 1.3.

2.2step 1.1A1A8algebra

For unit vectors x,y one has ∣⟨Tx,y⟩∣≤2w(T): the expansion of step 1.1 writes 4⟨Tx,y⟩ as a signed sum of the four values ⟨Tz,z⟩ at z=x+y,x−y,x+iy,x−iy, so 4∣⟨Tx,y⟩∣≤∑z∣⟨Tz,z⟩∣≤w(T)∑z∥z∥2, and the four squared norms sum to ∥x+y∥2+∥x−y∥2+∥x+iy∥2+∥x−iy∥2=4(∥x∥2+∥y∥2)=8, whence 4∣⟨Tx,y⟩∣≤8w(T).

2.3step 1.4A4A6A7A9algebra

If T is normal and λ∈σ(T), then T−λI is not bounded below: if ∥(T−λI)x∥≥c∥x∥ for some c>0, its kernel would be zero and its range would be closed. To see closedness, for any point v in its range closure, AC chooses un with ∥(T−λI)un−v∥<1/(n+1). The lower bound makes (un) Cauchy; completeness gives a limit u, and boundedness gives (T−λI)u=v. Furthermore, normality gives ker⁡(T−λI)∗=ker⁡(T−λI)={0} by equality of the two kernel norms, so the range would be dense, hence all of H, making T−λI invertible with inverse bound 1/c, contrary to λ∈σ(T).

3.1step 2.2step 1.2A1A8

Hence w(T)≤∥T∥ and ∥T∥≤2w(T): the first is the definition, and the second follows by taking the supremum of ∣⟨Tx,y⟩∣≤2w(T) over unit x,y and using step 1.2, which identifies that supremum with ∥T∥.

3.2step 2.3A1A2A9

If T is normal then σ(T)⊆W(T)‾: for each n the failure of a lower bound in step 2.3 gives a unit vector at tolerance 1/(n+1), and AC selects unit vectors xn with ∥(T−λI)xn∥<1/(n+1), and then ∣⟨Txn,xn⟩−λ∣=∣⟨(T−λI)xn,xn⟩∣≤∥(T−λI)xn∥→0, so ∣λ∣≤w(T) for every λ∈σ(T) and r(T)≤w(T).

4.1step 2.1step 3.1step 3.2A1A3A5∎

If H={0}, its operator space consists only of 0; [A1] and [A3] give w(0)=∥0∥=0, which defines a norm on this zero vector space and proves both estimates and the normal equality there, without any spectral maximum. For H≠{0}, therefore w is a norm with w(T)≤∥T∥≤2w(T), and for normal T the chain ∥T∥=r(T)≤w(T)≤∥T∥ gives w(T)=∥T∥.

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