We examine a purely geometric property of a point in the boundary of the numerical range of a (Hilbert space) operator that implies that such a point is a reducing essential eigenvalue of the given operator. Roughly speaking, such a property means that the boundary curve of the numerical range has infinite curvature at that point (we must exclude however linear verteces because they may be reducing eigenvalues without being reducing essential eigenvalues). This result allows us to give an elegant proof of a conjecture of Joel Anderson: {\it A compact perturbation of a scalar multiple of the identity operator can not have the closure of its numerical range equal to half a disk (neither equal to any acute circular sector).}
Let $A(t)$ be a holomorphic family of self-adjoint operators of type (B) on a complex Hilbert space $\mathcal{H}$. Kato-Rellich perturbation theory says that isolated eigenvalues of $A(t)$ will be analytic functions of $t$ as long as they remain below the minimum of the essential spectrum of $A(t)$. At a threshold value $t_0$ where one of these eigenvalue functions hits the essential spectrum, the corresponding point in the essential spectrum might or might not be an eigenvalue of $A(t_0)$. Our results generalize a theorem of Simon to give a sufficient condition for the minimum of the essentia…
We consider the plasmonic eigenvalue problem for a general 2D domain with a curvilinear corner, studying the spectral theory of the Neumann--Poincaré operator of the boundary. A limiting absorption principle is proved, valid when the spectral parameter approaches the essential spectrum. Putting the principle into use, it is proved that the corner produces absolutely continuous spectrum of multiplicity 1. The embedded eigenvalues are discrete. In particular, there is no singular continuous spectrum.
This article constructs a surface whose Neumann-Poincaré (NP) integral operator has infinitely many eigenvalues embedded in its essential spectrum. The surface is a sphere perturbed by smoothly attaching a conical singularity, which imparts essential spectrum. Rotational symmetry allows a decomposition of the operator into Fourier components. Eigenvalues of infinitely many Fourier components are constructed so that they lie within the essential spectrum of other Fourier components and thus within the essential spectrum of the full NP operator. The proof requires the perturbation to be sufficie…
Under the quadratic-decay-conditions of the radial curvatures of an end, we shall derive growth estimates of solutions to the eigenvalue equation and show the absence of eigenvalues.
We present a new oscillation criterion to determine whether the number of eigenvalues below the essential spectrum of a given Jacobi operator is finite or not. As an application we show that Kenser's criterion for Jacobi operators follows as a special case.
The celebrated Cwikel-Lieb_Rozenblum inequality gives an upper estimate for the number of negative eigenvalues of Schroedinger operators in dimension three and higher. The situation is much more difficult in the two dimensional case. There has been significant progress in obtaining upper estimates for the number of negative eigenvalues of two dimensional Schroedinger operators on the whole plane. In this thesis, we present estimates of the Cwikel-Lieb_Rozenblum type for the number of eigenvalues (counted with multiplicities) of two dimensional Schroedinger operators lying below the essential s…
A model operator $H$ corresponding to the energy operator of a system with non-conserved number $n\leq 3$ of particles is considered. The precise location and structure of the essential spectrum of $H$ is described. The existence of infinitely many eigenvalues below the bottom of the essential spectrum of $H$ is proved if the generalized Friedrichs model has a virtual level at the bottom of the essential spectrum and for the number $N(z)$ of eigenvalues below $z<0$ an asymptotics established. The finiteness of eigenvalues of $H$ below the bottom of the essential spectrum is proved if the gener…
We prove sharp criteria on the behavior of radial curvature for the existence of asymptotically flat or hyperbolic Riemannian manifolds with prescribed sets of eigenvalues embedded in the spectrum of the Laplacian. In particular, we construct such manifolds with dense embedded point spectrum and sharp curvature bounds.
Let $L_0$ be a bounded operator on a Banach space, and consider a perturbation $L=L_0+K$, where $K$ is compact. This work is concerned with obtaining bounds on the number of eigenvalues of $L$ in subsets of the complement of the essential spectrum of $L_0$, in terms of the approximation numbers of the perturbing operator $K$. Our results can be considered as wide generalizations of classical results on the distribution of eigenvalues of compact operators, which correspond to the case $L_0=0$. They also extend previous results on operators in Hilbert space. Our method employs complex analysis a…
We are interested in diagonal perturbations of a periodic Jacobi operator that introduce embedded eigenvalues in its essential spectrum. Embedding multiple points in the essential spectrum has been known to be difficult, given that eigenvalues are destroyed easily by small perturbations. However, given a finite or countably infinite set of points within an absolutely continuous band of the original periodic operator (subject only to a very weak non-resonance condition) we are able to construct a diagonal perturbation that preserves the essential spectrum and places eigenvalues in all of those …
We consider a quantum particle moving in the one dimensional lattice Z and interacting with a indefinite sign external field v. We prove that the associated discrete Schroedinger operator H can have one or two eigenvalues, situated as below the bottom of the essential spectrum, as well as above its top. Moreover, we show that the operator H can have two eigenvalues outside of the essential spectrum such that one of them is situated below the bottom of the essential spectrum, and other one above its top.
The Neumann-Poincaré operator is a boundary-integral operator associated with harmonic layer potentials. This article proves the existence of eigenvalues within the essential spectrum for the Neumann-Poincaré operator for certain Lipschitz curves in the plane with reflectional symmetry, when considered in the functional space in which it is self-adjoint. The proof combines the compactness of the Neumann-Poincaré operator for curves of class $C^{2,α}$ with the essential spectrum generated by a corner. Eigenvalues corresponding to even (odd) eigenfunctions are proved to lie within the essential …
This paper is devoted to the investigation of the Weyl and the essential $S-$spectrum of a bounded right quaternionic linear operator in a right quaternionic Hilbert space. Using the quaternionic Riesz projection, the $S-$eigenvalue of finite type is introduced and studied. In particular, it is shown that the Weyl and the essential $S-$spectra does not contains eigenvalues of finite type. We also describe the boundary of the Weyl $S-$spectrum and the particular case of the spectral theorem of the essential $S-$spectrum.
We consider the problem of embedding eigenvalues into the essential spectrum of periodic Jacobi operators, using an oscillating, decreasing potential. To do this we employ a geometric method, previously used to embed eigenvalues into the essential spectrum of the discrete Schrödinger operator. For periodic Jacobi operators we relax the rational dependence conditions on the values of the quasi-momenta from this previous work. We then explore conditions that permit not just the existence of infinitely many subordinate solutions to the formal spectral equation but also the embedding of infinitely…
A model operator $H$ corresponding to a three-particle discrete Schrödinger operator on a lattice $\Z^3$ is studied. The essential spectrum is described via the spectrum of two Friedrichs models with parameters $h_α(p),$ $α=1,2,$ $p \in \T^3=(-π,π]^3.$ The following results are proven: 1) The operator $H$ has a finite number of eigenvalues lying below the bottom of the essential spectrum in any of the following cases: (i) both operators $h_α(0), α=1,2,$ have a zero eigenvalue; (ii) either $h_1(0)$ or $h_2(0)$ has a zero eigenvalue. 2) The operator $H$ has infinitely many eigenvalues lying belo…
An upper estimate for the number of negative eigenvalues below the essential spectrum for the magnetic Schrödinger operator with Aharonov-Bohm magnetic field in a strip is obtained. Its further shown that the estimate does not hold in absence of Aharonov-Bohm magnetic field.
We consider the Neumann-Poincar'e (double layer potential) operator in 3D elasicity on a smooth closed surface. Its essential spectrum consists of 3 points. We find the asymptotics of sequences of eigenvalues converging to these three pounts. They are expressed via the eigenvalue distribution for a matrix eigenvalue problem depending on the points of the cotangent bundle of the surface. For the two-sided asymptotics for the distribution of the the union of sequences of eigenvalues converging to the point of the essential spectrum from both sides, an expression is found via the Euler characteri…
We analyze eigenvalues emerging from thresholds of the essential spectrum of one-dimensional Dirac operators perturbed by complex and non-symmetric potentials. In the general non-self-adjoint setting we establish the existence and asymptotics of weakly coupled eigenvalues and Lieb-Thirring inequalities. As physical applications we investigate the damped wave equation and armchair graphene nanoribbons.
The spectral properties of a singular left-definite Sturm-Liouville operator $JA$ are investigated and described via the properties of the corresponding right-definite selfadjoint counterpart $A$ which is obtained by substituting the indefinite weight function by its absolute value. The spectrum of the $J$-selfadjoint operator $JA$ is real and it follows that an interval $(a,b)\subset\mathbb R^+$ is a gap in the essential spectrum of $A$ if and only if both intervals $(-b,-a)$ and $(a,b)$ are gaps in the essential spectrum of the $J$-selfadjoint operator $JA$. As one of the main results it is …
We study the distribution of the eigenvalues inside of the essential spectrum for discrete one-dimensional Schrödinger operators with potentials of Coulomb type decay.
We investigate in a quantitative way the plasmon resonance at eigenvalues and the essential spectrum (the accumulation point of eigenvalues) of the Neumann-Poincaré operator on smooth domains. We first extend the symmetrization principle so that the single layer potential becomes a unitary operator from $H^{-1/2}$ onto $H^{1/2}$. We then show that the resonance at the essential spectrum is weaker than that at eigenvalues. It is shown that anomalous localized resonance occurs at the essential spectrum on ellipses, but cloaking does not occur on ellipses unlike the core-shell structure considere…
A model operator $H$ associated to a system of three-particles on the three dimensional lattice $\Z^3$ and interacting via pair non-local potentials is studied. The following results are proven: (i) the operator $H$ has infinitely many eigenvalues lying below the bottom of the essential spectrum and accumulating at this point, in the case, where both Friedrichs model operators $h_{μ_α}(0),α=1,2,$ have threshold resonances. (ii) the operator $H$ has a finite number of eigenvalues lying outside of the essential spectrum, in the case, where at least one of $h_{μ_α}(0), α=1,2,$ has a threshold eig…
We define and study the properties of Darboux-type transformations between Sturm--Liouville problems with boundary conditions containing rational Herglotz--Nevanlinna functions of the eigenvalue parameter (including the Dirichlet boundary conditions). Using these transformations, we obtain various direct and inverse spectral results for these problems in a unified manner, such as asymptotics of eigenvalues and norming constants, oscillation of eigenfunctions, regularized trace formulas, and inverse uniqueness and existence theorems.
Using the notion of spectral flow, we suggest a simple approach to various asymptotic problems involving eigenvalues in the gaps of the essential spectrum of self-adjoint operators. Our approach uses some elements of the spectral shift function theory. Using this approach, we provide generalisations and streamlined proofs of two results in this area already existing in the literature. We also give a new proof of the generalised Birman-Schwinger principle.
In this work we continue the study of the Weyl asymptotics of the distribution of eigenvalues of non-self-adjoint (pseudo)differential operators with small random perturbations, by treating the case of multiplicative perturbations in arbitrary dimension. We were led to quite essential improvements of many of the probabilistic aspects.
We consider the Dirichlet Laplacian in a three-dimensional waveguide that is a small deformation of a periodically twisted tube. The deformation is given by a bending and an additional twisting of the tube, both parametrized by a coupling constant $δ$. We expand the resolvent of the perturbed operator near the bottom of its essential spectrum and we show the existence of exactly one resonance, in the asymptotic regime of $δ$ small. We are able to perform the asymptotic expansion of the resonance in $δ$, which in particular permits us to give a quantitative geometric criterion for the existence…
We consider the discrete spectrum of the two-dimensional Hamiltonian $H=H_0+V$, where $H_0$ is a Schrödinger operator with a non-constant magnetic field $B$ that depends only on one of the spatial variables, and $V$ is an electric potential that decays at infinity. We study the accumulation rate of the eigenvalues of H in the gaps of its essential spectrum. First, under some general conditions on $B$ and $V$, we introduce effective Hamiltonians that govern the main asymptotic term of the eigenvalue counting function. Further, we use the effective Hamiltonians to find the asymptotic behavior of…
We consider the Hamiltonian of a system of three quantum mechanical particles (two identical fermions and boson)on the three-dimensional lattice $\Z^3$ and interacting by means of zero-range attractive potentials. We describe the location and structure of the essential spectrum of the three-particle discrete Schrödinger operator $H_γ(K),$ $K$ being the total quasi-momentum and $γ>0$ the ratio of the mass of fermion and boson. We choose for $γ>0$ the interaction $v(γ)$ in such a way the system consisting of one fermion and one boson has a zero energy resonance. We prove for any $γ> 0$ the exist…
We consider a wide class of the two-particle Schrödinger operators $H_μ(k)=H_{0}(k)+μV, \,μ>0,$ with a fixed two-particle quasi-momentum $k$ in the $d$ -dimensional torus $\mathbb{T}^d$, associated to the Bose-Hubbard hamiltonian $H_μ$ of a system of two identical quantum-mechanical particles (bosons) on the $d$- dimensional hypercubic lattice $\mathbb{Z}% ^d$ interacting via short-range pair potentials. We study the existence of eigenvalues of $H_μ(k)$ below the threshold of the essential spectrum depending on the interaction energy $μ>0$ and the quasi-momentum $k\in \mathbb{T}^d$ of particle…
A general class of linear advective PDEs, whose leading order term is of viscous dissipative type, is considered. It is proved that beyond the limit of the essential spectrum of the underlying inviscid operator, the eigenvalues of the viscous operator, in the limit of vanishing viscosity, converge precisely to those of the inviscid operator. The general class of PDEs includes the equations of incompressible fluid dynamics. Hence eigenvalues of the Navier-Stokes operator converge in the inviscid limit to the eigenvalues of the Euler operator beyond the essential spectrum.
A perturbation decaying to 0 at infinity and not too irregular at 0 introduces at most a discrete set of eigenvalues into the spectral gaps of a one-dimensional Dirac operator on the half-line. We show that the number of these eigenvalues in a compact subset of a gap in the essential spectrum is given by a quasi-semiclassical asymptotic formula in the slow-decay limit, which for power-decaying perturbations is equivalent to the large-coupling limit. This asymptotic behaviour elucidates the origin of the dense point spectrum observed in spherically symmetric, radially periodic three-dimensional…
We give general spectral and eigenvalue perturbation bounds for a selfadjoint operator perturbed in the sense of the pseudo-Friedrichs extension. We also give several generalisations of the aforementioned extension. The spectral bounds for finite eigenvalues are obtained by using analyticity and monotonicity properties (rather than variational principles) and they are general enough to include eigenvalues in gaps of the essential spectrum.
Let Z_0 be a bounded operator in a Banach space X with purely essential spectrum and K a nuclear operator in X. Using methods of complex analysis we study the discrete spectrum of Z_0+K and derive a Lieb-Thirring type inequality. We obtain estimates for the number of eigenvalues in certain regions of the complex plane and an estimate for the asymptotics of the eigenvalues approaching to the essential spectrum of Z_0
Eigenvalues in the essential spectrum of a weighted Sturm-Liouville operator are studied under the assumption that the weight function has one turning point. An abstract approach to the problem is given via a functional model for indefinite Sturm-Liouville operators. Algebraic multiplicities of eigenvalues are obtained. Also, operators with finite singular critical points are considered.
We consider Toeplitz operators in different Bergman type spaces, having radial symbols with variable sign. We show that if the symbol has compact support or decays rapidly, the eigenvalues of such operators cannot decay too fast, essentially faster than for a sign-definite symbol with the same kind. On the other hand, if the symbol decays not sufficiently rapidly, the eigenvalues of the corresponding operator may decay faster than for the operator corresponding to the absolute value of the symbol.
I present an example of a discrete Schr"odinger operator that shows that it is possible to have embedded singular spectrum and, at the same time, discrete eigenvalues that approach the edges of the essential spectrum (much) faster than exponentially. This settles a conjecture of Simon (in the negative). The potential is of von Neumann-Wigner type, with careful navigation around a previously identified borderline situation.
We revisit the existence and stability of the critical front in the extended Fisher-KPP equation, refining earlier results of Rottschäfer and Wayne [28] which establish stability of fronts without identifying a precise decay rate. We verify that the front is marginally spectrally stable: while the essential spectrum touches the imaginary axis at the origin, there are no unstable eigenvalues and no eigenvalue (or resonance) embedded in the essential spectrum at the origin. Together with the recent work of Avery and Scheel [3], this implies nonlinear stability of the critical front with sharp $t…
We provide quantitative estimates on the location of eigenvalues of one-dimensional discrete Dirac operators with complex $\ell^p$-potentials for $1\leq p\leq\infty$. As a corollary, subsets of the essential spectrum free of embedded eigenvalues are determined for small $\ell^1$-potential. Further possible improvements and sharpness of the obtained spectral bounds are also discussed.
A virial theorem is established for the operator proposed by Brown and Ravenhall as a model for relativistic one-electron atoms. As a consequence, it is proved that the operator has no eigenvalues greater than $\max(m c^2, 2 αZ - \frac{1}{2})$, where $α$ is the fine structure constant, for all values of the nuclear charge $Z$ below the critical value $Z_c$: in particular there are no eigenvalues embedded in the essential spectrum when $Z \leq 3/4 α$. Implications for the operators in the partial wave decomposition are also described.
We develop an analytic perturbation theory for eigenvalues with finite multiplicities, embedded into the essential spectrum of a self-adjoint operator $H$. We assume the existence of another self-adjoint operator $A$ for which the family $H_θ= e^{\mathrm{i}θA} H e^{-\mathrm{i}θA}$ extends analytically from the real line to a strip in the complex plane. Assuming a Mourre estimate holds for $\mathrm{i}[H,A]$ in the vicinity of the eigenvalue, we prove that the essential spectrum is locally deformed away from the eigenvalue, leaving it isolated and thus permitting an application of Kato's analyti…
We consider a quadratic operator pencil with a small periodic perturbation multiplied by the spectral parameter. It is motivated, in particular, by a one-dimensional Klein-Gordon equation with a time-parity-symmetric perturbation. We study in details the structure of the considered operator pencil. We show that its essential spectrum has a band structure and at certain thresholds, the bands bifurcate into small parabolas. We then study how the isolated limiting eigenvalues behave under the perturbation. We show that if zero is a limiting isolated eigenvalue, under the perturbation it remains a…
We prove inclusion theorems for both spectra and essential spectra as well as two-sided bounds for isolated eigenvalues for Klein-Gordon type Hamiltonian operators. We first study operators of the form $JG$, where $J$, $G$ are selfadjoint operators on a Hilbert space, $J = J^* = J^{-1}$ and $G$ is positive definite and then we apply these results to obtain bounds of the Klein-Gordon eigenvalues under the change of the electrostatic potential. The developed general theory allows applications to some other instances, as e.g. the Sturm-Liouville problems with indefinite weight.
The aim of this paper is twofold: First, we characterize an essentially optimal class of boundary operators $Θ$ which give rise to self-adjoint Laplacians $-Δ_{Θ, Ω}$ in $L^2(Ω; d^n x)$ with (nonlocal and local) Robin-type boundary conditions on bounded Lipschitz domains $Ω\subset\bbR^n$, $n\in\bbN$, $n\geq 2$. Second, we extend Friedlander's inequalities between Neumann and Dirichlet Laplacian eigenvalues to those between nonlocal Robin and Dirichlet Laplacian eigenvalues associated with bounded Lipschitz domains $Ω$, following an approach introduced by Filonov for this type of problems.
A lattice model of radiative decay (so-called spin-boson model) of a two level atom and at most two photons is considered. The location of the essential spectrum is described. For any coupling constant the finiteness of the number of eigenvalues below the bottom of its essential spectrum is proved. The results are obtained by considering a more general model $H$ for which the lower bound of its essential spectrum is estimated. Conditions which guarantee the finiteness of the number of eigenvalues of $H,$ below the bottom of its essential spectrum are found. It is shown that the discrete spectr…
We study the eigenvalues of the Laplacian with a strong attractive Robin boundary condition in curvilinear polygons. It was known from previous works that the asymptotics of several first eigenvalues is essentially determined by the corner openings, while only rough estimates were available for the next eigenvalues. Under some geometric assumptions, we go beyond the critical eigenvalue number and give a precise asymptotics of any individual eigenvalue by establishing a link with an effective Schrödinger-type operator on the boundary of the domain with boundary conditions at the corners.
We address the count of isolated and embedded eigenvalues in a generalized eigenvalue problem defined by two self-adjoint operators with a positive essential spectrum and a finite number of isolated eigenvalues. The generalized eigenvalue problem determines spectral stability of nonlinear waves in a Hamiltonian dynamical system. The theory is based on the Pontryagin's Invariant Subspace theorem in an indefinite inner product space but it extends beyond the scope of earlier papers of Pontryagin, Krein, Grillakis, and others. Our main results are (i) the number of unstable and potentially unstab…
We study Schrödinger operators $H=-Δ+V$ in $L^2(Ω)$ where $Ω$ is $\mathbb R^d$ or the half-space $\mathbb R_+^d$, subject to (real) Robin boundary conditions in the latter case. For $p>d$ we construct a non-real potential $V\in L^p(Ω)\cap L^{\infty}(Ω)$ that decays at infinity so that $H$ has infinitely many non-real eigenvalues accumulating at every point of the essential spectrum $σ_{\rm ess}(H)=[0,\infty)$. This demonstrates that the Lieb-Thirring inequalities for selfadjoint Schrödinger operators are no longer true in the non-selfadjoint case.
The minimax principle for eigenvalues in gaps of the essential spectrum in the form presented by Griesemer, Lewis, and Siedentop in [Doc. Math. 4 (1999), 275--283] is adapted to cover certain abstract perturbative settings with bounded or unbounded perturbations, in particular ones that are off-diagonal with respect to the spectral gap under consideration. This in part builds upon and extends the considerations in the author's appendix to [J. Spectr. Theory 10 (2020), 843--885]. Several monotonicity and continuity properties of eigenvalues in gaps of the essential spectrum are deduced, and the…
This paper is devoted to a general min-max characterization of the eigenvalues in a gap of the essential spectrum of a self-adjoint unbounded operator. We prove an abstract theorem, then we apply it to the case of Dirac operators with a Coulomb-like potential. The result is optimal for the Coulomb potential. An erratum is appended at the end of the tex.
