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Nuclear series characterizes trace norm

Statement

Assume the Axiom of Countable Choice (The Axiom of Countable Choice (ACω)). Let H and K be Hilbert spaces over the same real or complex scalar field and let T∈B(H,K) be compact (Compact linear operator). Then T is trace class (Trace class operator) if and only if there are families (uj)j≥1 in H and (vj)j≥1 in K, indexed by the positive integers, with ∑j≥1∥uj∥ ∥vj∥<+∞ such that the zero-based sequence of finite-rank operators defined by R0=0 and Rm:=∑j=1m⟨⋅,uj⟩vj(m≥1) converges to T in operator norm (The operator norm as the least bound and as the unit-sphere or unit-ball supremum, Convergence of a sequence in a metric space: xk→x iff d(xk,x)→0 in R). Here the displayed scalar series is, under the library convention, the series of the sequence (∥um+1∥ ∥vm+1∥)m∈N. In that case ∥T∥1=inf⁡{∑j≥1∥uj∥ ∥vj∥: Rm→T in operator norm}, the infimum being over all such nuclear representations of T, with the same zero-based shift understood in every displayed sum, and the infimum is attained: using its positive-integer index set and padding finite rank by zeros, the singular-value series T=∑j∈Jsj⟨⋅,ej⟩fj is a nuclear representation with sum ∥T∥1.

Facts & Assumptions

Given: Countable Choice, real or complex Hilbert spaces H,K over the same field, and compact T∈B(H,K). Nuclear data are assumed only in the reverse implication.

[A1]

The SVD has J={1,2,…} in infinite rank and J={1,…,r} in rank r, including J=∅ when r=0. It supplies orthonormal (ej),(fj), Tej=sjfj, and operator-norm convergence of Tm=∑j∈J, j≤msj⟨⋅,ej⟩fj to T (Singular value decomposition for compact operators, Absolute value and singular values of a compact operator).

[A2]

Trace class and its norm are defined by the sum of the zero-padded positive-indexed singular values, equivalently by the zero-indexed sequence (sm+1(T))m∈N (Trace class operator).

[A3]

The operator norm bounds ∥Sx∥≤∥S∥∥x∥, and norm convergence means these norms of differences tend to zero (The operator norm as the least bound and as the unit-sphere or unit-ball supremum, A bounded linear operator between normed spaces, Convergence of a sequence in a metric space: xk→x iff d(xk,x)→0 in R).

[A5]

The pairing is linear in the first argument and conjugate-linear in the second. Cauchy–Schwarz gives ∣⟨x,y⟩∣≤∥x∥∥y∥, and finite Bessel sums are bounded by the squared norm (Real and complex inner-product spaces and their induced length, Cauchy–Schwarz: ∣⟨x,y⟩∣≤∥x∥ ∥y∥, with equality exactly for dependent pairs, The finite Bessel inequality and best approximation by a finite orthonormal family).

[A6]

An infimum is a greatest lower bound; a member of a set that is also a lower bound is consequently its infimum (Greatest lower bound (infimum)).

Proof

technique · direct
1.1A1A2A5assume-hyp

Suppose T is trace class. For every j∈J set uj=sjej and vj=fj. Because sj is real, conjugate-linearity gives ⟨x,sjej⟩=sj⟨x,ej⟩. In finite rank put uj=vj=0 for j>r; in rank zero use zero families throughout. In infinite rank J already consists of all positive integers, so no index shift and no vector e0 is used. Orthonormality gives ∥uj∥∥vj∥=sj for j∈J. The shifted zero-based sum is ∥T∥1<∞, and the zero-based partial-sum sequence with R0=0 converges in operator norm by [A1].

1.2givenA1A3A5assume-hyp

Conversely assume given positive-integer-indexed families with C=∑j≥1∥uj∥∥vj∥<∞ in the shifted sense just specified, and let the zero-based sequence (Rm)m∈N converge to T in operator norm. Each term is linear and bounded by ∥uj∥∥vj∥ using [A5], so Rm is bounded and its range lies in the finite span of v1,…,vm (the zero subspace when m=0). The given compactness of T licenses [A1]; no new compactness theorem is needed.

2.1step 1.2A1A3A5algebra

Fix a finite F⊆J. Since Tek=skfk, put SF=∑k∈Fsk=∑k∈F⟨Tek,fk⟩. For every m∈N, finite rearrangement (with the sum empty at m=0) gives am:=∑k∈F⟨Rmek,fk⟩=∑j=1m∑k∈F⟨ek,uj⟩⟨vj,fk⟩. Finite Cauchy–Schwarz, applied to the vectors of absolute values in R∣F∣, and Bessel give ∣∑k∈F⟨ek,uj⟩⟨vj,fk⟩∣≤(∑k∈F∣⟨uj,ek⟩∣2)1/2(∑k∈F∣⟨vj,fk⟩∣2)1/2≤∥uj∥∥vj∥. Thus ∣am∣≤C. Also ∣SF−am∣≤∣F∣∥T−Rm∥ by [A3] and [A5], so the zero-based sequence (am) converges to SF and SF≤C. For empty F this says 0≤C; otherwise a hypothetical SF>C contradicts the displayed error bound for sufficiently large m.

3.1step 2.1A2A7

Take F=J∩{1,…,n} for each n∈N. The zero-padded singular-value partial sums are nondecreasing, start at zero, and are bounded above by C by step 2.1. Therefore [A7] makes their series converge to a value at most C. By [A2], T is trace class and ∥T∥1≤C.

4.1step 1.1step 3.1A6∎

Steps 1.1 and 3.1 prove the equivalence. For trace-class T, the set of nuclear-representation sums is nonempty by step 1.1, every such sum is at least ∥T∥1 by step 3.1, and step 1.1 attains this bound. It is therefore the infimum by [A6]. All sequences used in the reverse implication were given; the forward implication spends only the Countable Choice already assumed by the SVD.

Depends on

Dependency tree · 2 levels

Sources