Nuclear Operators on Hilbert Space are Trace Class

Serge Phanzu

Department of Mathematics and Statistics

Portland State University

Analysis Seminar, Apr 2024

Serge Phanzu Nuclear Operators on Hilbert Space are Trace ClassAnalysis Seminar, Apr 2024 1 / 13
Nuclear Vs Trace-Class
X is a Banach space.
An operator T on X is said to be nuclear if there exists a sequence (hn ) in
X and a sequence (γn ) in X ∗ with n ∥hn ∥∥γn ∥ < ∞ such that
P

X
T = hn ⊗ γn .
n

For h ∈ X and γ ∈ X ∗, the rank-one operator h ⊗ γ on X is defined by

(h ⊗ γ)(x) = γ(x)h (x ∈ X ).

H is a Hilbert space.
An operator T on H is said to be of trace class if it has the form
X
T (x) = sn ⟨x, fn ⟩gn (x ∈ H) (1)
n

where (fn ) and (gn ) are orthonormal sequences in H, and (sn ) is a

summable sequence of positive real numbers.
Serge Phanzu Nuclear Operators on Hilbert Space are Trace ClassAnalysis Seminar, Apr 2024 2 / 13
Nuclear implies trace class
For f , g ∈ H, we form the rank-one operator g ⊗ f on H by
(g ⊗ f )(x) = ⟨x, f ⟩g (x ∈ H).
An operator T on H is said to be nuclear if, in (1) above, we require that
∥fn ∥ = 1, ∥gn ∥ = 1 for all n.
Theorem
If T is nuclear on the Hilbert space H, then T is trace class.

Proof. We will show that the singular sequence of T is summable. Since

T is nuclear, it is the operator-norm limit of finite rank operators, hence
compact.
P It therefore has a Singular-Value Decomposition
T = j sj (fj ⊗ ej ), with each sj ≥ 0, and with (fj ) and (ej ) orthonormal
lists of vectors in H. Fix an index n and observe that
X
Ten = sj ⟨en , ej ⟩fj = sn fn .
j

So,
Serge Phanzu Nuclear Operators on Hilbert Space are Trace ClassAnalysis Seminar, Apr 2024 3 / 13
 sn = ⟨Ten , fn ⟩. (2)
P
P the nuclear representation of T is T = j hj ⊗ γj , where
Now
j ∥hj ∥∥γj ∥ < ∞. (Now γj is just a vector in H.)
Thus X X
Ten = (hj ⊗ γj )en = ⟨en , γj ⟩hj .
j j
It follows from (2) above that
X X
sn = ⟨Ten , fn ⟩ = ⟨en , γj ⟩⟨hj , fn ⟩ ≤ |⟨en , γj ⟩||⟨hj , fn ⟩|.
j j
Therefore,
X XX XX
sn ≤ |⟨en , γj ⟩||⟨hj , fn ⟩| = |⟨en , γj ⟩||⟨hj , fn ⟩|
n n j j n
XX 1/2 X 1/2
≤ |⟨en , γj ⟩|2 |⟨hj , fn ⟩|2
j n n
X
= ∥γj ∥∥hj ∥ < ∞.
Serge Phanzu j Nuclear Operators on Hilbert Space are Trace ClassAnalysis Seminar, Apr 2024 4 / 13
Trace-Class Operators

Recall: For each T ∈ B(H), the Spectral Theorem provides √ for the
positive operator T ∗ T a unique positive square root |T | := T ∗ T .

P say that T ∈ B(H) belongs to the Trace-Class (B1 (H)) whenever

We
n ⟨|T |en , en ⟩ < ∞ for some basis (en ). Here |T | is the positive
square root of the positive operator T ∗ T .

PT ∈ B1 (H), we call the convergent and basis-independent series

If
n ⟨|T |enP
, en ⟩ the trace norm of T , and denote it by
∥T ∥1 := n ⟨|T |en , en ⟩ .
Indeed, since T is of trace-class, it is compact
P (see below!). Therefore T
has a Singular-Value Decomposition T = j sj (fj ⊗ ej ), with each sj ≥ 0,
and with (fj ) and (ej ) orthonormal sequences in H.

Serge Phanzu Nuclear Operators on Hilbert Space are Trace ClassAnalysis Seminar, Apr 2024 5 / 13
Then X
T ∗T = sj2 (ej ⊗ ej )
j
√
with |T | := T ∗ T = j sj (ej ⊗ ej ),
P
and so |T |ek = sk ek .
Now X X
∞ > ∥T ∥1 = ⟨|T |ek , ek ⟩ = sk .
k k

If (en ) is a basis for H, define the trace of T , tr : B1 (H) → C by

X
tr(T ) := ⟨Ten , en ⟩.
n

If dim H < ∞, then tr(T ) is precisely the sum of the diagonal terms of
any matrix representation of T .

Serge Phanzu Nuclear Operators on Hilbert Space are Trace ClassAnalysis Seminar, Apr 2024 6 / 13
Theorem (Polar Decomposition).
If T ∈ B(H) then:
(a) There exists a partial isometry V such that T = V |T |, and
(b) V ∗ is a partial isometry with V ∗ T = |T |.

Theorem
Every Trace-class operator is compact.

Proof. Fix a trace-class operator T on H, and a basis (en ) for H. Let S

denote the unique positive square root of |T |. Then
X X X X
∞> ⟨|T |en , en ⟩ = ⟨S 2 en , en ⟩ = ⟨Sen , Sen ⟩ = ∥Sen ∥2 .
n n n n

Conclusion: S is Hilbert-Schmidt, hence compact, so |T | = S 2 is compact.

By the Polar Decomposition, T = W |T |, where W is a partial isometry.
Therefore, T is the product of a bounded operator and a compact one, so
is compact.
Serge Phanzu Nuclear Operators on Hilbert Space are Trace ClassAnalysis Seminar, Apr 2024 7 / 13
Corollary (B1 (H) ⊂ B2 (H) × B2 (H)).
Every trace-class operator is the product of two Hilbert-Schmidt operators.

Proof. From the proof above, we have, for T ∈ B1 (H) :

T = W |T | = (WS)S

where S is the Hilbert-Schmidt and W a bounded operator on H. Since

the Hilbert-Schmidt operators form an ideal in B(H), the operator WS is
also Hilbert-Schmidt, and we are done.
Theorem
P If T ∈ B1 (h), and (en ) is a basis for H, then the
The Trace Theorem.
series tr (T ) := n ⟨Ten , en ⟩ is absolutely convergent, with its sum
independent of the choice of the basis (en ).

Serge Phanzu Nuclear Operators on Hilbert Space are Trace ClassAnalysis Seminar, Apr 2024 8 / 13
Proof. Write T = QS, a product of two Hilbert-Schmidt operators. Then

X X X
|⟨Ten , en ⟩| = |⟨Sen , Q ∗ en ⟩| ≤ ∥Sen ∥∥Q ∗ en ∥
n n n
!1/2 !1/2
X X
≤ ∥Sen ∥2 ∥Qen ∥2
n n
= ∥S∥2 ∥Q∥2 < ∞.

Theorem (B2 (H) × B2 (H) ⊂ B1 (H)).

If S and T are Hilbert-Schmidt operators, then ST is trace-class, and
∥ST ∥1 ≤ ∥S∥2 ∥T ∥2 .

Serge Phanzu Nuclear Operators on Hilbert Space are Trace ClassAnalysis Seminar, Apr 2024 9 / 13
 P
Proof. We need to show that if (xn ) is a basis for H then n ⟨|ST |xn , xn ⟩
is finite. Recall from The Polar Decomposition that we can write
|ST | = V ∗ ST , where V is a partial isometry. Thus,
X X X
∥ST ∥1 = ⟨|ST |xn , xn ⟩ = ⟨V ∗ STxn , xn ⟩ = ⟨Txn , (V ∗ S)∗ xn ⟩
n n n
X 1/2  X 1/2
≤ ∥Txn ∥2 ∥(V ∗ S)∗ xn ∥2
n n
= ∥T ∥2 ∥(V S) ∥2 = ∥T ∥2 ∥(V ∗ S)∥2
∗ ∗

≤ ∥T ∥2 ∥V ∗ ∥∥S∥2 = ∥T ∥2 ∥S∥2 .

Theorem (B2 (H) × B2 (H) = B1 (H)).

An operator is trace class if and only if it is the product of two
Hilbert-Schmidt operators.

Serge Phanzu Nuclear Operators on Hilbert Space are Trace ClassAnalysis Seminar, Apr 2024 10 / 13
Lemma
If A ∈ B(H), then the following are equivalent:
(a) A ∈ B1 (H)
(b) |A| = (A∗ A)1/2 ∈ B1 (H)
(c) |A|1/2 ∈ B2 (H)
(d) tr(|A|) < ∞.

Proof. (d) ⇒ (c). We have

X X X
∥ |A|1/2 ∥22 = ∥ |A|1/2 en ∥2 = ⟨|A|1/2 en , |A|1/2 en ⟩ = ⟨|A|en , en ⟩ =
n n n
tr(|A|).

Corollary
If A ∈ B1 (H) and T ∈ B(H), then

tr(T |A|) ≤ ∥T ∥∥A∥1 .

Serge Phanzu Nuclear Operators on Hilbert Space are Trace ClassAnalysis Seminar, Apr 2024 11 / 13
Proof. |A|1/2 ∈ B2 (H) by Lemma and, hence, T |A|1/2 and |A|1/2 T
belong to B2 (H). Also
X X
tr(T |A|) = ⟨T |A|1/2 |A|1/2 en , en ⟩ = ⟨|A|1/2 en , |A|1/2 T ∗ en ⟩.
n n

Using the Cauchy-Schwartz inequality gives

X X
tr(T |A|) ≤ ⟨|A|1/2 en , |A|1/2 T ∗ en ⟩ ≤ ∥ |A|1/2 en ∥ ∥ |A|1/2 T ∗ en ∥ ≤
n n
X 1/2  X 1/2
∗
∥ |A| 1/2
en ∥ 2
∥ |A| 1/2
T en ∥ 2
= ∥ |A|1/2 ∥2 ∥ |A|1/2 T ∗ ∥2 ≤
n n
1/2
∥ |A| ∥2 ∥ |A|1/2 ∥2 ∥T ∥ = ∥ |A|1/2 ∥22 ∥T ∥.
But
X X
∥ |A|1/2 ∥22 := ∥ |A|1/2 en ∥2 = ⟨|A|1/2 en , |A|1/2 en ⟩ := tr (|A|) = ∥A∥1 .
n n

This completes the proof.

Serge Phanzu Nuclear Operators on Hilbert Space are Trace ClassAnalysis Seminar, Apr 2024 12 / 13
Serge Phanzu Nuclear Operators on Hilbert Space are Trace ClassAnalysis Seminar, Apr 2024 13 / 13
 Thank you

Serge Phanzu Nuclear Operators on Hilbert Space are Trace ClassAnalysis Seminar, Apr 2024 13 / 13