Fractal Strings, Complex Dimensions and the...

166
Fractal Strings, Complex Dimensions and the Spectral Operator: From the Riemann Hypothesis to Phase Transitions and Universality Michel L. Lapidus Department of Mathematics University of California, Riverside [email protected] http://www.math.ucr.edu/ ~ lapidus New results: Joint work with Hafedh Herichi. Background material: In collaboration with Machiel van Frankenhuijsen (Helmut Maier and/or Carl Pomerance). Hawaii Conference in Number Theory Honolulu, March 7, 2012.

Transcript of Fractal Strings, Complex Dimensions and the...

Page 1: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Fractal Strings, Complex Dimensions and theSpectral Operator:

From the Riemann Hypothesis to PhaseTransitions and Universality

Michel L. Lapidus

Department of MathematicsUniversity of California, Riverside

[email protected]://www.math.ucr.edu/~lapidus

New results: Joint work with Hafedh Herichi.

Background material: In collaboration with Machiel van Frankenhuijsen (HelmutMaier and/or Carl Pomerance).

Hawaii Conference in Number Theory

Honolulu, March 7, 2012.

March 6, 2012

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Contents

I Background MaterialGeneralized Fractal StringsComplex DimensionsInverse Spectral Problem for Fractal Strings and the RiemannHypothesis (RH)Heuristic Definition/Properties of the Spectral OperatorOperator-Valued Euler Product

II The Spectral OperatorPrecise Definition, Main PropertiesSpectrum: Infinitesimal Shift/Spectral OperatorEvolution Semigroup

III Quasi-Invertibility of the Spectral OperatorTruncated Spectral OperatorsPrecise Reformulation of RHAlmost Invertibility and “Almost RH”

Page 3: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Contents

IV Zeta Values and UniversalitySpectrum of the Spectral Operator, RevisitedOpen Problems

V Spectra, Riemann Zeroes and Phase TransitionsPhase Transitions at c = 1/2 and c = 1

VI Universality of the Spectral OperatorUniversality of the Riemann Zeta FunctionUniversality of the Spectral Operator

Page 4: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Contents

VII Open Problems and Future DirectionsOther L-FunctionsGlobal Zeta Function and Global Spectral OperatorAdelic VersionEuler Product in the Critical Strip (work in progress)Towards a Polya-Hilbert Operator and a Complex/FractalCohomology (ML, 1/12)Special Case of Curves/Varieties over a Finite Field; WeilConjectures, Revisited (ML, 1/12)

VIII Bibliography

Page 5: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Generalized Fractal Strings

Definition

A generalized fractal string η is a local positive or complexmeasure on (0,+∞) satisfying |η|(0, x0) = 0, for some x0 > 0,where |η| is the total variation measure of A defined by

|η|(A) = sup

∞∑k=1

|η(Ak)|

,

and Ak∞k=1 ranges over all finite or countable partitions of A intomeasurable subsets of (0,+∞).

By “local measure”here, we mean that η is a set function on theBorel class of (0,+∞) (with values in [0,+∞] or C, respectively)whose restriction to any bounded Borel subset of (0,+∞) is apositive or complex measure, respectively.

Page 6: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Generalized Fractal Strings

Definition

A generalized fractal string η is a local positive or complexmeasure on (0,+∞) satisfying |η|(0, x0) = 0, for some x0 > 0,where |η| is the total variation measure of A defined by

|η|(A) = sup

∞∑k=1

|η(Ak)|

,

and Ak∞k=1 ranges over all finite or countable partitions of A intomeasurable subsets of (0,+∞).

By “local measure”here, we mean that η is a set function on theBorel class of (0,+∞) (with values in [0,+∞] or C, respectively)whose restriction to any bounded Borel subset of (0,+∞) is apositive or complex measure, respectively.

Page 7: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Generalized Fractal Strings

Definition

A generalized fractal string η is a local positive or complexmeasure on (0,+∞) satisfying |η|(0, x0) = 0, for some x0 > 0,where |η| is the total variation measure of A defined by

|η|(A) = sup

∞∑k=1

|η(Ak)|

,

and Ak∞k=1 ranges over all finite or countable partitions of A intomeasurable subsets of (0,+∞).

By “local measure”here, we mean that η is a set function on theBorel class of (0,+∞) (with values in [0,+∞] or C, respectively)whose restriction to any bounded Borel subset of (0,+∞) is apositive or complex measure, respectively.

Page 8: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Example

Consider the string consisting of the sequence of lengthsL = a−j∞j=1, with typically nonintegers multiplicities

wj = bj , where 1 < b < a.

Then, the measure associated to this string, called thegeneralized Cantor string (see [La-vF3, §10.1]) is given by

ηCS =∞∑j=0

bjδa−j.

Here, δx is the Dirac measure concentrated at x .

Page 9: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Example

Let Ω be a bounded open subset of R. Write Ω = ∪∞j=1Ij as adisjoint union of (bounded, open) intervals Ij of lengths `j(repeated according to their multiplicity), and such that `j 0 asj → 0. Then Ω (or L := `j∞j=1) is called an ordinary fractalstring. Furthermore,

ηL :=∞∑j=1

δ`−1j

is the associated generalized fractal string.

Page 10: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically
Page 11: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Definition

Let η be a generalized fractal string. Then its dimension,denoted by Dη, is the abscissa of convergence of the Dirichlet

integral∫ +∞0 x−sη(dx); that is,

Dη = inf

σ ∈ R :

∫ +∞

0x−σ|η|(dx) <∞

.

Definition

Given a generalized fractal string η, its geometric zetafunction, denoted by ζη, is its Mellin transform; namely,

ζη(s) =

∫ +∞

0x−sη(dx) for Re(s) > Dη .

Page 12: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Definition

Let η be a generalized fractal string. Then its dimension,denoted by Dη, is the abscissa of convergence of the Dirichlet

integral∫ +∞0 x−sη(dx); that is,

Dη = inf

σ ∈ R :

∫ +∞

0x−σ|η|(dx) <∞

.

Definition

Given a generalized fractal string η, its geometric zetafunction, denoted by ζη, is its Mellin transform; namely,

ζη(s) =

∫ +∞

0x−sη(dx) for Re(s) > Dη .

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Page 14: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Definition

We will be interested in the meromorphic continuation ofs 7→ ζη(s). For this purpose, we define the screen as the curveS : S(t) + it, t ∈ R, and the windowW as the subset of thecomplex planeW := s ∈ C : Re(s) ≥ S(Ims).

We assume that s 7→ ζη(s) has a meromorphic continuation tosome neighborhood of W, and we define the set of visible complexdimensions of η as

Dη(W) = ω ∈ W : ζη has a pole at ω .

Page 15: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically
Page 16: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Example

Harmonic string:

h =∞∑j=1

δj−1

Prime harmonic string:

hp =∞∑j=1

δp−j,

where p ∈ P:= the set of all primes.

Note that h and hp are both generalized fractal strings.Moreover, for any p ∈ P, we have

h = ∗p∈P

hp,

where ∗ is the multiplicative convolution of measures on (0,+∞).

Page 17: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Example

Harmonic string:

h =∞∑j=1

δj−1

Prime harmonic string:

hp =∞∑j=1

δp−j,

where p ∈ P:= the set of all primes.

Note that h and hp are both generalized fractal strings.Moreover, for any p ∈ P, we have

h = ∗p∈P

hp,

where ∗ is the multiplicative convolution of measures on (0,+∞).

Page 18: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Example

Harmonic string:

h =∞∑j=1

δj−1

Prime harmonic string:

hp =∞∑j=1

δp−j,

where p ∈ P:= the set of all primes.

Note that h and hp are both generalized fractal strings.Moreover, for any p ∈ P, we have

h = ∗p∈P

hp,

where ∗ is the multiplicative convolution of measures on (0,+∞).

Page 19: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Let η and η′ be two generalized fractal strings. Then we have

ζη∗η′(s) = ζη(s).ζη′(s).

The geometric zeta function associated to hp is

ζhp(s) =1

1− p−s,

the pth Euler factor of ζ(s).

Hence, we have for Re(s) > 1,

ζh(s) = ζ∗hpp∈P

(s) = ζ(s) =∏p∈P

1

1− p−s=∏p∈P

ζhp(s).

We thus recover the well-known Euler product for ζ.

Page 20: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Let η and η′ be two generalized fractal strings. Then we have

ζη∗η′(s) = ζη(s).ζη′(s).

The geometric zeta function associated to hp is

ζhp(s) =1

1− p−s,

the pth Euler factor of ζ(s).

Hence, we have for Re(s) > 1,

ζh(s) = ζ∗hpp∈P

(s) = ζ(s) =∏p∈P

1

1− p−s=∏p∈P

ζhp(s).

We thus recover the well-known Euler product for ζ.

Page 21: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Let η and η′ be two generalized fractal strings. Then we have

ζη∗η′(s) = ζη(s).ζη′(s).

The geometric zeta function associated to hp is

ζhp(s) =1

1− p−s,

the pth Euler factor of ζ(s).

Hence, we have for Re(s) > 1,

ζh(s) = ζ∗hpp∈P

(s) = ζ(s) =∏p∈P

1

1− p−s=∏p∈P

ζhp(s).

We thus recover the well-known Euler product for ζ.

Page 22: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Definition

Given a generalized fractal string η, the spectral measure νassociated to η is defined by

ν(A) =+∞∑k=1

η

(A

k

),

for each bounded Borel subset A ⊂ (0,+∞).

We define the spectral zeta function of η to be the geometriczeta function associated to ν; we denote it by ζν .

Lemma

Let η be a generalized fractal string. Then the spectral measureassociated to η is the convolution of h (the harmonic string) withη. That is,

ν = η ∗ h.

Page 23: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Definition

Given a generalized fractal string η, the spectral measure νassociated to η is defined by

ν(A) =+∞∑k=1

η

(A

k

),

for each bounded Borel subset A ⊂ (0,+∞).

We define the spectral zeta function of η to be the geometriczeta function associated to ν; we denote it by ζν .

Lemma

Let η be a generalized fractal string. Then the spectral measureassociated to η is the convolution of h (the harmonic string) withη. That is,

ν = η ∗ h.

Page 24: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

The spectral zeta function of η, denoted by ζν , is obtained bymultiplying ζη by the Riemann zeta function

ζν(s) = ζη(s).ζ(s).

Page 25: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically
Page 26: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically
Page 27: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Distributional Explicit Formulas

Theorem

(See [La-vF3, Ch.5]). Let η be a languid generalized fractalstring. Then, for any k ∈ Z, its kth distributional primitive (or

anti-derivative) P [k]η is given by

P [k]η (x) =

∑ω∈Dη(W)

res

(x s+k−1ζη(s)

(s)k;ω

)+

1

(k − 1)!

.

k−1∑j=0

C k−1j (−1)jxk−1−jζη(−j) +R[k]

η (x),

where R[k]η (x) = 1

2πi

∫S x s+k−1ζη(s) ds

(s)kis the error term and can

be suitably estimated as x 7→ +∞.In addition, if η is strongly languid, then we may choose

W = C and Rη(x) ≡ 0.

Page 28: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Distributional Explicit Formulas

Theorem

(See [La-vF3, Ch.5]). Let η be a languid generalized fractalstring. Then, for any k ∈ Z, its kth distributional primitive (or

anti-derivative) P [k]η is given by

P [k]η (x) =

∑ω∈Dη(W)

res

(x s+k−1ζη(s)

(s)k;ω

)+

1

(k − 1)!

.

k−1∑j=0

C k−1j (−1)jxk−1−jζη(−j) +R[k]

η (x),

where R[k]η (x) = 1

2πi

∫S x s+k−1ζη(s) ds

(s)kis the error term and can

be suitably estimated as x 7→ +∞.In addition, if η is strongly languid, then we may choose

W = C and Rη(x) ≡ 0.

Page 29: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

When we apply the distributional explicit formulas at levelk = 0, assuming that η is a languid generalized fractal string whosecomplex dimensions are simple and satisfies certain mild additionalconditions, we obtain that, as a distribution, the measure η is givenby the following density of geometric states (or density oflengths) formula:

η =∑

ω∈Dη(W)

res(ζη(s);ω)xω−1.

Page 30: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

We also obtain for the spectral measure, by applying the

previous theorem to ν = P [0]ν , the following density of spectral

states (or density of frequencies) formula:

ν = ζη(1) +∑

ω∈Dη(W)

res(ζη(s)ζ(s)x s−1;ω)xω−1

= ζη(1) +∑

ω∈Dη(W)

ζ(ω)res(ζη(s);ω)xω−1,

for simple poles.

Page 31: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Inverse Spectral Problem

The inverse problem for fractal strings considered in[LaMa1, LaMa2] (and later revisited in [La-vF2, La-vF3]) is thefollowing, for any fixed D ∈ (0, 1):

(IVS)D Given any fractal string L of dimension D such that forsome constants CD and δ > 0,

Nν(x) = W (x)− cDxD + O(xD−δ),

as x → +∞, is it true that L is Minkowski measurable?

(Here, the leading term W (x) is the Weyl term, given byW (x) := vol1(L)x , and below, M is the Minkowski content of L.)

Remark:It follows from results in [LaPo2] and [La2, La3] that if such a

nonzero constant cD exists, then cD > 0 and is given by

cD = 2−(1−D)(1− D)(−ζ(D))M.

where M is the Minkowski content of L.

Page 32: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Inverse Spectral Problem

The inverse problem for fractal strings considered in[LaMa1, LaMa2] (and later revisited in [La-vF2, La-vF3]) is thefollowing, for any fixed D ∈ (0, 1):

(IVS)D Given any fractal string L of dimension D such that forsome constants CD and δ > 0,

Nν(x) = W (x)− cDxD + O(xD−δ),

as x → +∞, is it true that L is Minkowski measurable?

(Here, the leading term W (x) is the Weyl term, given byW (x) := vol1(L)x , and below, M is the Minkowski content of L.)

Remark:It follows from results in [LaPo2] and [La2, La3] that if such a

nonzero constant cD exists, then cD > 0 and is given by

cD = 2−(1−D)(1− D)(−ζ(D))M.

where M is the Minkowski content of L.

Page 33: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Inverse Spectral Problem

The inverse problem for fractal strings considered in[LaMa1, LaMa2] (and later revisited in [La-vF2, La-vF3]) is thefollowing, for any fixed D ∈ (0, 1):

(IVS)D Given any fractal string L of dimension D such that forsome constants CD and δ > 0,

Nν(x) = W (x)− cDxD + O(xD−δ),

as x → +∞, is it true that L is Minkowski measurable?

(Here, the leading term W (x) is the Weyl term, given byW (x) := vol1(L)x , and below, M is the Minkowski content of L.)

Remark:It follows from results in [LaPo2] and [La2, La3] that if such a

nonzero constant cD exists, then cD > 0 and is given by

cD = 2−(1−D)(1− D)(−ζ(D))M.

where M is the Minkowski content of L.

Page 34: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Inverse Spectral Problem

The inverse problem for fractal strings considered in[LaMa1, LaMa2] (and later revisited in [La-vF2, La-vF3]) is thefollowing, for any fixed D ∈ (0, 1):

(IVS)D Given any fractal string L of dimension D such that forsome constants CD and δ > 0,

Nν(x) = W (x)− cDxD + O(xD−δ),

as x → +∞, is it true that L is Minkowski measurable?

(Here, the leading term W (x) is the Weyl term, given byW (x) := vol1(L)x , and below, M is the Minkowski content of L.)

Remark:It follows from results in [LaPo2] and [La2, La3] that if such a

nonzero constant cD exists, then cD > 0 and is given by

cD = 2−(1−D)(1− D)(−ζ(D))M.

where M is the Minkowski content of L.

Page 35: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

As a consequence, the main result of [LaMa2] can be stated asfollows:

For any given D ∈ (0, 1), the inverse spectral problem (IVS)Dhas an affirmative answer if and only if ζ(s) 6= 0 for all s ∈ C suchthat Re(s) = D. Hence, (IVS)D is not true in the “mid-fractal”casewhen D = 1

2 , and it holds everywhere else (i.e, for everyD ∈ (0, 1), D 6= 1

2) if and only if the Riemann hypothesis is true.

This spectral reformulation was revisited in [La-vF2, La-vF3] byusing the then rigorously developed theory of complex dimensionsand the associated explicit formulas. (See [La-vF3,Ch.9].)

Page 36: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

As a consequence, the main result of [LaMa2] can be stated asfollows:

For any given D ∈ (0, 1), the inverse spectral problem (IVS)Dhas an affirmative answer if and only if ζ(s) 6= 0 for all s ∈ C suchthat Re(s) = D. Hence, (IVS)D is not true in the “mid-fractal”casewhen D = 1

2 , and it holds everywhere else (i.e, for everyD ∈ (0, 1), D 6= 1

2) if and only if the Riemann hypothesis is true.

This spectral reformulation was revisited in [La-vF2, La-vF3] byusing the then rigorously developed theory of complex dimensionsand the associated explicit formulas. (See [La-vF3,Ch.9].)

Page 37: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

As a consequence, the main result of [LaMa2] can be stated asfollows:

For any given D ∈ (0, 1), the inverse spectral problem (IVS)Dhas an affirmative answer if and only if ζ(s) 6= 0 for all s ∈ C suchthat Re(s) = D. Hence, (IVS)D is not true in the “mid-fractal”casewhen D = 1

2 , and it holds everywhere else (i.e, for everyD ∈ (0, 1), D 6= 1

2) if and only if the Riemann hypothesis is true.

This spectral reformulation was revisited in [La-vF2, La-vF3] byusing the then rigorously developed theory of complex dimensionsand the associated explicit formulas. (See [La-vF3,Ch.9].)

Page 38: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Multiplicative and Additive Spectral Operators

Using the distributional explicit formula as a motivation, thespectral operator will be defined at level k = 0 as the map

η 7−→ ν

and at level k = 1 as the map

Nη(x) 7−→ ν(Nη)(x) = Nν(x) =∞∑k=1

(x

k

).

Page 39: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Multiplicative and Additive Spectral Operators

Using the distributional explicit formula as a motivation, thespectral operator will be defined at level k = 0 as the map

η 7−→ ν

and at level k = 1 as the map

Nη(x) 7−→ ν(Nη)(x) = Nν(x) =∞∑k=1

(x

k

).

Page 40: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Multiplicative and Additive Spectral Operators

Using the distributional explicit formula as a motivation, thespectral operator will be defined at level k = 0 as the map

η 7−→ ν

and at level k = 1 as the map

Nη(x) 7−→ ν(Nη)(x) = Nν(x) =∞∑k=1

(x

k

).

Page 41: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

For every prime number p, we also define the p-factor of ν by

Nη(x) 7−→ νp(Nη)(x) = Nνp(x) = Nη∗hp(x) =∞∑k=0

Nη(xp−k),

where the terms in the sum necessarily vanish when pk ≥ x .

The operators νp commute with each other and theircomposition gives the Euler product for ν :

Nη(x) 7−→ ν(Nη)(x) =( ∏

p∈Pνp

)(Nη).

Page 42: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

For every prime number p, we also define the p-factor of ν by

Nη(x) 7−→ νp(Nη)(x) = Nνp(x) = Nη∗hp(x) =∞∑k=0

Nη(xp−k),

where the terms in the sum necessarily vanish when pk ≥ x .

The operators νp commute with each other and theircomposition gives the Euler product for ν :

Nη(x) 7−→ ν(Nη)(x) =( ∏

p∈Pνp

)(Nη).

Page 43: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Making the change of variable x = et (x > 0) orequivalently, t = log x (and hence, t ∈ R), and writingf (t) = Nη(x), we obtain the additive version of the spectraloperator

f (t) 7→ a(f )(t) =∞∑k=1

f (t − log k),

and of its operator-valued Euler factors (for each prime p ∈ P)

f (t) 7→ ap(f )(t) =∞∑k=0

f (t − k log p).

Page 44: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Making the change of variable x = et (x > 0) orequivalently, t = log x (and hence, t ∈ R), and writingf (t) = Nη(x), we obtain the additive version of the spectraloperator

f (t) 7→ a(f )(t) =∞∑k=1

f (t − log k),

and of its operator-valued Euler factors (for each prime p ∈ P)

f (t) 7→ ap(f )(t) =∞∑k=0

f (t − k log p).

Page 45: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The spectral operator a and its Euler factors ap are also relatedby an operator-valued Euler product

f (t) 7−→ a(f )(t) =( ∏

p∈Pap

)(f )(t),

where the product is given in the sense of the composition ofoperators.

Page 46: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

If we denote by ∂ := ddt the first order differential operator with

respect to t, the Taylor series associated to f, a smooth function,can be written as

f (t + h) = f (t) +hf ′(t)

1!+

h2f′′

(t)

2!+ ...

= ehddt (f )(t) = eh∂(f )(t);

that is, ∂ = ddt is the infinitesimal generator of the (one-parameter)

group of shifts on the real line.

Page 47: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

This gives a new representation for the spectral operator and itsprime factors:

a(f )(t) =∞∑k=1

e−(log k)∂(f )(t)

=∞∑k=1

(1

k∂

)(f )(t)

= ζ(∂)(f )(t)

=∏p∈P

(1− p−∂)−1(f )(t),

Page 48: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

and for any prime p,

ap(f )(t) =∞∑k=0

f (t − k log p)

=∞∑k=0

e−k(log p)∂(f )(t)

=∞∑k=0

(p−k∂

)(f )(t)

= (1− p−∂)−1(f )(t)

= ζhp(∂)(t).

Page 49: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Weighted Hilbert Space Hc

For c ≥ 0, let

Hc :=

f ∈ C∞(R) : supp(f ) ⊂ (0,+∞) and

∫ +∞

0|f (t)|2e−2ctdt <∞

.

Hc is a pre-Hilbert space for the natural inner product indicatedbelow.

Its completion is a Hilbert space and is denoted by Hc . It isequipped with the following inner product

< f , g >c =

∫ ∞0

f (t)g(t)e−2ctdt

and the associated Hilbert norm ||.||c =√< . , . >c (so that

||f ||2c =∫ +∞0 |f (t)|2e−2ctdt).

Page 50: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Weighted Hilbert Space Hc

For c ≥ 0, let

Hc :=

f ∈ C∞(R) : supp(f ) ⊂ (0,+∞) and

∫ +∞

0|f (t)|2e−2ctdt <∞

.

Hc is a pre-Hilbert space for the natural inner product indicatedbelow.

Its completion is a Hilbert space and is denoted by Hc . It isequipped with the following inner product

< f , g >c =

∫ ∞0

f (t)g(t)e−2ctdt

and the associated Hilbert norm ||.||c =√< . , . >c (so that

||f ||2c =∫ +∞0 |f (t)|2e−2ctdt).

Page 51: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Weighted Hilbert Space Hc

For c ≥ 0, let

Hc :=

f ∈ C∞(R) : supp(f ) ⊂ (0,+∞) and

∫ +∞

0|f (t)|2e−2ctdt <∞

.

Hc is a pre-Hilbert space for the natural inner product indicatedbelow.

Its completion is a Hilbert space and is denoted by Hc . It isequipped with the following inner product

< f , g >c =

∫ ∞0

f (t)g(t)e−2ctdt

and the associated Hilbert norm ||.||c =√< . , . >c (so that

||f ||2c =∫ +∞0 |f (t)|2e−2ctdt).

Page 52: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Differentiation Operator A = ∂c

Given c ≥ 0, we define A := ∂ = ∂c = ddt as the unbounded

linear operator from Hc to itself with domain D(A) consisting of allthe functions f ∈ Hc that are (locally) absolutely continuous on R(i.e., f ∈ Cabs(R)) and such that f ′ ∈ Hc (where f’ denotes thepointwise derivative of f, which exists Lebesgue almost everywhereon R). Furthermore, for f ∈ D(A), we let

Af = ∂f := f ′, for all f ∈ D(A).

Page 53: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Differentiation Operator A = ∂c

Given c ≥ 0, we define A := ∂ = ∂c = ddt as the unbounded

linear operator from Hc to itself with domain D(A) consisting of allthe functions f ∈ Hc that are (locally) absolutely continuous on R(i.e., f ∈ Cabs(R)) and such that f ′ ∈ Hc (where f’ denotes thepointwise derivative of f, which exists Lebesgue almost everywhereon R). Furthermore, for f ∈ D(A), we let

Af = ∂f := f ′, for all f ∈ D(A).

Page 54: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Differentiation Operator A = ∂c

Given c ≥ 0, we define A := ∂ = ∂c = ddt as the unbounded

linear operator from Hc to itself with domain D(A) consisting of allthe functions f ∈ Hc that are (locally) absolutely continuous on R(i.e., f ∈ Cabs(R)) and such that f ′ ∈ Hc (where f’ denotes thepointwise derivative of f, which exists Lebesgue almost everywhereon R). Furthermore, for f ∈ D(A), we let

Af = ∂f := f ′, for all f ∈ D(A).

Page 55: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

It follows from the definition of Hc , D(A) and a well-knownlemma (about absolutely continuous functions) that everyf ∈ D(A) naturally satisfies the following boundary conditions at−∞ and +∞, respectively:

(1) (Boundary condition at -∞) f (t) = 0 for all t ≤ 0; inparticular, we have f (0) = 0.

(2) (Boundary condition at +∞) limt→+∞

f (t)e−tc = 0.

Remark:

Intuitively, condition (2) means that the corresponding fractalstrings have (Minkowski) dimension D ≤ c . (See [LapPo2].)

Page 56: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

It follows from the definition of Hc , D(A) and a well-knownlemma (about absolutely continuous functions) that everyf ∈ D(A) naturally satisfies the following boundary conditions at−∞ and +∞, respectively:

(1) (Boundary condition at -∞) f (t) = 0 for all t ≤ 0; inparticular, we have f (0) = 0.

(2) (Boundary condition at +∞) limt→+∞

f (t)e−tc = 0.

Remark:

Intuitively, condition (2) means that the corresponding fractalstrings have (Minkowski) dimension D ≤ c . (See [LapPo2].)

Page 57: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

It follows from the definition of Hc , D(A) and a well-knownlemma (about absolutely continuous functions) that everyf ∈ D(A) naturally satisfies the following boundary conditions at−∞ and +∞, respectively:

(1) (Boundary condition at -∞) f (t) = 0 for all t ≤ 0; inparticular, we have f (0) = 0.

(2) (Boundary condition at +∞) limt→+∞

f (t)e−tc = 0.

Remark:

Intuitively, condition (2) means that the corresponding fractalstrings have (Minkowski) dimension D ≤ c . (See [LapPo2].)

Page 58: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

It follows from the definition of Hc , D(A) and a well-knownlemma (about absolutely continuous functions) that everyf ∈ D(A) naturally satisfies the following boundary conditions at−∞ and +∞, respectively:

(1) (Boundary condition at -∞) f (t) = 0 for all t ≤ 0; inparticular, we have f (0) = 0.

(2) (Boundary condition at +∞) limt→+∞

f (t)e−tc = 0.

Remark:

Intuitively, condition (2) means that the corresponding fractalstrings have (Minkowski) dimension D ≤ c . (See [LapPo2].)

Page 59: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Normality of the unbounded operator ∂c

Theorem

For every c ≥ 0, A = ∂c is an unbounded normal linear operatoron Hc .

Moreover, its adjoint A∗ is given by A∗ = 2c − A, withD(A∗) = D(A).

Page 60: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Normality of the unbounded operator ∂c

Theorem

For every c ≥ 0, A = ∂c is an unbounded normal linear operatoron Hc .

Moreover, its adjoint A∗ is given by A∗ = 2c − A, withD(A∗) = D(A).

Page 61: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Spectrum of ∂c

Theorem

For every c ≥ 0, the spectrum σ(A) of the differentiationoperator A = ∂c is the closed vertical line of the complex planepassing through c. Furthermore, it is equal to the essentialspectrum σe(A) of A:

σ(A) = σe(A) = λ ∈ C|Re(λ) = c .

Moreover, the point spectrum of A is empty (i.e., A does nothave any eigenvalues).

Page 62: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Spectrum of ∂c

Theorem

For every c ≥ 0, the spectrum σ(A) of the differentiationoperator A = ∂c is the closed vertical line of the complex planepassing through c. Furthermore, it is equal to the essentialspectrum σe(A) of A:

σ(A) = σe(A) = λ ∈ C|Re(λ) = c .

Moreover, the point spectrum of A is empty (i.e., A does nothave any eigenvalues).

Page 63: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically
Page 64: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The strongly continuous group e−t∂c

Lemma

For every c ≥ 0, e−t∂ct∈R is a strongly continuous group of(bounded linear) operators and

||e−t∂c || = e−ct

for any t ∈ R.

Moreover, its adjoint group (e−t∂c )∗t∈R is given by

e−t∂∗c t∈R = e−t(2c−∂c )t∈R = e−2ctet∂ct∈R.

Page 65: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The strongly continuous group e−t∂c

Lemma

For every c ≥ 0, e−t∂ct∈R is a strongly continuous group of(bounded linear) operators and

||e−t∂c || = e−ct

for any t ∈ R.

Moreover, its adjoint group (e−t∂c )∗t∈R is given by

e−t∂∗c t∈R = e−t(2c−∂c )t∈R = e−2ctet∂ct∈R.

Page 66: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Lemma

The strongly continuous group of operators e−t∂t∈R is atranslation (or shift) group. That is, for every t ∈ R,

(e−t∂)(f )(u) = f (u − t)

for all f ∈ Hc and u ∈ R. (For a fixed t ∈ R, this equality holds forelements in Hc and hence, for a.e. u ∈ R.)

Remark: As a result, ∂ = ∂c , the infinitesimal generator of theshift group e−t∂t∈R, is called the infinitesimal shift of the realline (with parameter c ≥ 0).

Page 67: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Lemma

The strongly continuous group of operators e−t∂t∈R is atranslation (or shift) group. That is, for every t ∈ R,

(e−t∂)(f )(u) = f (u − t)

for all f ∈ Hc and u ∈ R. (For a fixed t ∈ R, this equality holds forelements in Hc and hence, for a.e. u ∈ R.)

Remark: As a result, ∂ = ∂c , the infinitesimal generator of theshift group e−t∂t∈R, is called the infinitesimal shift of the realline (with parameter c ≥ 0).

Page 68: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Spectrum of a

We can now define the spectral operator as follows:

a = ζ(∂),

via the measurable functional calculus for unbounded normaloperators. (If, for simplicity, we assume c 6= 1 in order to avoid thepole of ζ at s = 1, then ζ is holomorphic in a neighborhood ofσ(∂). If c = 1 is allowed, then we may also use the meromorphicfunctional calculus for sectorial operators; see [Haase].)

Theorem

Assume that c > 1. Then, for any f ∈ D(a), we have

a(f )(t) =∞∑k=1

f (t − log k) = ζ(∂)(f )(t) =∞∑n=1

n−∂(f )(t).

Page 69: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Spectrum of a

We can now define the spectral operator as follows:

a = ζ(∂),

via the measurable functional calculus for unbounded normaloperators. (If, for simplicity, we assume c 6= 1 in order to avoid thepole of ζ at s = 1, then ζ is holomorphic in a neighborhood ofσ(∂). If c = 1 is allowed, then we may also use the meromorphicfunctional calculus for sectorial operators; see [Haase].)

Theorem

Assume that c > 1. Then, for any f ∈ D(a), we have

a(f )(t) =∞∑k=1

f (t − log k) = ζ(∂)(f )(t) =∞∑n=1

n−∂(f )(t).

Page 70: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The Spectrum of a

We can now define the spectral operator as follows:

a = ζ(∂),

via the measurable functional calculus for unbounded normaloperators. (If, for simplicity, we assume c 6= 1 in order to avoid thepole of ζ at s = 1, then ζ is holomorphic in a neighborhood ofσ(∂). If c = 1 is allowed, then we may also use the meromorphicfunctional calculus for sectorial operators; see [Haase].)

Theorem

Assume that c > 1. Then, for any f ∈ D(a), we have

a(f )(t) =∞∑k=1

f (t − log k) = ζ(∂)(f )(t) =∞∑n=1

n−∂(f )(t).

Page 71: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Remark:

For any c > 0, we also show that the above equation holds forall f in a suitable dense subspace of D(a).

Theorem

Assume that c ≥ 0. Then

σ(a) = ζ(σ(∂)) = cl (ζ(λ ∈ C|Re(λ) = c)) ,

where σ(a) is the spectrum of a and N = cl(N) is the closure ofN ⊂ C.

Page 72: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Remark:

For any c > 0, we also show that the above equation holds forall f in a suitable dense subspace of D(a).

Theorem

Assume that c ≥ 0. Then

σ(a) = ζ(σ(∂)) = cl (ζ(λ ∈ C|Re(λ) = c)) ,

where σ(a) is the spectrum of a and N = cl(N) is the closure ofN ⊂ C.

Page 73: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Quasi-Invertibility of the Spectral Operator and a SpectralReformulation of RH

Theorem

Assume that c ≥ 0. Then, the spectral operator a = ζ(∂) isquasi-invertible if and only if the Riemann zeta function does notvanish on the vertical line s ∈ C : Re(s) = c.

Page 74: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Quasi-Invertibility of the Spectral Operator and a SpectralReformulation of RH

Theorem

Assume that c ≥ 0. Then, the spectral operator a = ζ(∂) isquasi-invertible if and only if the Riemann zeta function does notvanish on the vertical line s ∈ C : Re(s) = c.

Page 75: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Corollary

The spectral operator a is quasi-invertible for allc ∈ (0, 1)− 1

2 if and only if the Riemann hypothesis is true.

Remarks:

The notion of quasi-invertibility will be defined in the nextpart.

It suffices to require c ∈ (0, 12) (or c ∈ (12 , 1)) in the abovecorollary. This follows from the functional equation for ζconnecting ζ(s) and ζ(1− s).

Page 76: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Corollary

The spectral operator a is quasi-invertible for allc ∈ (0, 1)− 1

2 if and only if the Riemann hypothesis is true.

Remarks:

The notion of quasi-invertibility will be defined in the nextpart.

It suffices to require c ∈ (0, 12) (or c ∈ (12 , 1)) in the abovecorollary. This follows from the functional equation for ζconnecting ζ(s) and ζ(1− s).

Page 77: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Corollary

The spectral operator a is quasi-invertible for allc ∈ (0, 1)− 1

2 if and only if the Riemann hypothesis is true.

Remarks:

The notion of quasi-invertibility will be defined in the nextpart.

It suffices to require c ∈ (0, 12) (or c ∈ (12 , 1)) in the abovecorollary. This follows from the functional equation for ζconnecting ζ(s) and ζ(1− s).

Page 78: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Truncated Spectral Operators and Quasi-Invertibility

We show in [HerLa1] that for any c ≥ 0, the infinitesimal shift∂ = ∂c is given by

∂ = c + iV ,

where V is an unbounded self-adjoint operator such thatσ(V ) = R. Thus, given T ≥ 0, we define the truncatedinfinitesimal shift as follows:

A(T ) = ∂(T ) := c + iV (T ),

whereV (T ) := φ(T )(V )

(in the sense of the functional calculus),

Page 79: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

and φ(T ) is a suitable (i.e., T -admissible) continuous (if c 6= 1) ormeromorphic (if c = 1) cut-off function (chosen so that

φ(T )(R) = σ(A(T )

)= c + i [−T ,T ]).

Similarly, the truncated spectral operator is defined (also forc ≥ 0) by

a(T ) := ζ(∂(T )

).

Page 80: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

and φ(T ) is a suitable (i.e., T -admissible) continuous (if c 6= 1) ormeromorphic (if c = 1) cut-off function (chosen so that

φ(T )(R) = σ(A(T )

)= c + i [−T ,T ]).

Similarly, the truncated spectral operator is defined (also forc ≥ 0) by

a(T ) := ζ(∂(T )

).

Page 81: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically
Page 82: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

More precisely, the T -admissible function φ(T ) is chosen asfollows:

(i) If c 6= 1, φ(T ) is any continuous function such that

φ(T )(R) = [−T ,T ]. (For example, φ(T )(τ) = τ for 0 ≤ τ ≤ T and= T for τ ≥ T ; also, φ(T ) is odd.)

(ii) If c = 1 (which corresponds to the pole of ζ(s) at s = 1),then φ(T ) is a suitable meromorphic analog of (i). (For example,

φ(T )(s) = 2Tπ tan−1(s), so that φ(T )(R) = [−T ,T ].)

Page 83: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

More precisely, the T -admissible function φ(T ) is chosen asfollows:

(i) If c 6= 1, φ(T ) is any continuous function such that

φ(T )(R) = [−T ,T ]. (For example, φ(T )(τ) = τ for 0 ≤ τ ≤ T and= T for τ ≥ T ; also, φ(T ) is odd.)

(ii) If c = 1 (which corresponds to the pole of ζ(s) at s = 1),then φ(T ) is a suitable meromorphic analog of (i). (For example,

φ(T )(s) = 2Tπ tan−1(s), so that φ(T )(R) = [−T ,T ].)

Page 84: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

More precisely, the T -admissible function φ(T ) is chosen asfollows:

(i) If c 6= 1, φ(T ) is any continuous function such that

φ(T )(R) = [−T ,T ]. (For example, φ(T )(τ) = τ for 0 ≤ τ ≤ T and= T for τ ≥ T ; also, φ(T ) is odd.)

(ii) If c = 1 (which corresponds to the pole of ζ(s) at s = 1),then φ(T ) is a suitable meromorphic analog of (i). (For example,

φ(T )(s) = 2Tπ tan−1(s), so that φ(T )(R) = [−T ,T ].)

Page 85: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

One then uses the measurable functional calculus and anappropriate (continuous or meromorphic, for c 6= 1 or c = 1,respectively) version of the Spectral Mapping Theorem (SMT) forunbounded normal operators in order to define both ∂(T ) anda(T ) = ζ(∂(T )), as well as to determine their spectra.

SMT : σ(ψ(L)) = ψ(σ(L))

if ψ is a continuous (resp., meromorphic) function on σ(L) (resp.,on a neighborhood of σ(L)) and L is an unbounded normaloperator.

Note that for c 6= 1 (resp., c = 1), ∂(T ) and a(T ) are thencontinuous (resp., meromorphic) functions of the normal (andsectorial, see [Haa]) operator ∂. An entirely analogous statement istrue for the spectral operator a = ζ(∂).

Page 86: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

One then uses the measurable functional calculus and anappropriate (continuous or meromorphic, for c 6= 1 or c = 1,respectively) version of the Spectral Mapping Theorem (SMT) forunbounded normal operators in order to define both ∂(T ) anda(T ) = ζ(∂(T )), as well as to determine their spectra.

SMT : σ(ψ(L)) = ψ(σ(L))

if ψ is a continuous (resp., meromorphic) function on σ(L) (resp.,on a neighborhood of σ(L)) and L is an unbounded normaloperator.

Note that for c 6= 1 (resp., c = 1), ∂(T ) and a(T ) are thencontinuous (resp., meromorphic) functions of the normal (andsectorial, see [Haa]) operator ∂. An entirely analogous statement istrue for the spectral operator a = ζ(∂).

Page 87: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The above construction can be generalized as follows:

Given 0 ≤ T0 ≤ T , one can define a (T0,T )-admissible cut-offfunction φ(T0,T ) exactly as above, except with [−T ,T ] replacedwith τ ∈ R : T0 ≤ |τ | ≤ T.

Correspondingly, one can define V (T0,T ) = φ(T0,T )(V ),

A(T0,T ) = ∂(T0,T ) := c + iV (T0,T )

anda(T0,T ) = ζ(∂(T0,T )),

where ∂(T0,T ) is the (T0,T )-infinitesimal shift and a(T0,T ) is the(T0,T )-truncated spectral operator.

Remark: Note that for T0 = 0, we recover A(T ) and a(T ).

Page 88: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

The above construction can be generalized as follows:

Given 0 ≤ T0 ≤ T , one can define a (T0,T )-admissible cut-offfunction φ(T0,T ) exactly as above, except with [−T ,T ] replacedwith τ ∈ R : T0 ≤ |τ | ≤ T.

Correspondingly, one can define V (T0,T ) = φ(T0,T )(V ),

A(T0,T ) = ∂(T0,T ) := c + iV (T0,T )

anda(T0,T ) = ζ(∂(T0,T )),

where ∂(T0,T ) is the (T0,T )-infinitesimal shift and a(T0,T ) is the(T0,T )-truncated spectral operator.

Remark: Note that for T0 = 0, we recover A(T ) and a(T ).

Page 89: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Definition

The spectral operator a is quasi-invertible if its truncation a(T )

is invertible for all T ≥ 0.

Definition

Similarly, a is almost invertible, if for some T0 ≥ 0, itstruncation a(T0,T ) is invertible for all T ≥ T0.

Remark:In the definition of “almost invertibility”, T0 is allowed to

depend on the parameter c .

Note:

quasi-invertible ⇒ almost invertible.

Page 90: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Definition

The spectral operator a is quasi-invertible if its truncation a(T )

is invertible for all T ≥ 0.

Definition

Similarly, a is almost invertible, if for some T0 ≥ 0, itstruncation a(T0,T ) is invertible for all T ≥ T0.

Remark:In the definition of “almost invertibility”, T0 is allowed to

depend on the parameter c .

Note:

quasi-invertible ⇒ almost invertible.

Page 91: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Definition

The spectral operator a is quasi-invertible if its truncation a(T )

is invertible for all T ≥ 0.

Definition

Similarly, a is almost invertible, if for some T0 ≥ 0, itstruncation a(T0,T ) is invertible for all T ≥ T0.

Remark:In the definition of “almost invertibility”, T0 is allowed to

depend on the parameter c .

Note:

quasi-invertible ⇒ almost invertible.

Page 92: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Definition

The spectral operator a is quasi-invertible if its truncation a(T )

is invertible for all T ≥ 0.

Definition

Similarly, a is almost invertible, if for some T0 ≥ 0, itstruncation a(T0,T ) is invertible for all T ≥ T0.

Remark:In the definition of “almost invertibility”, T0 is allowed to

depend on the parameter c .

Note:

quasi-invertible ⇒ almost invertible.

Page 93: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

For all T ≥ 0, A(T ) and a(T ) are bounded normal operators,with spectra respectively given by

σ(

A(T ))

= c + iτ : |τ | ≤ T

and

σ(a(T )

)= ζ(c + iτ) : |τ | ≤ T.

Remarks:

Recall that a(T ) is invertible if and only if 0 /∈ σ(a(T )

).

More generally, given 0 ≤ T0 ≤ T , the exact counterpart ofthe above theorem holds for A(T0,T ) and a(T0,T ), except with|τ | ≤ T replaced with T0 ≤ |τ | ≤ T .

Page 94: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

For all T ≥ 0, A(T ) and a(T ) are bounded normal operators,with spectra respectively given by

σ(

A(T ))

= c + iτ : |τ | ≤ T

andσ(a(T )

)= ζ(c + iτ) : |τ | ≤ T.

Remarks:

Recall that a(T ) is invertible if and only if 0 /∈ σ(a(T )

).

More generally, given 0 ≤ T0 ≤ T , the exact counterpart ofthe above theorem holds for A(T0,T ) and a(T0,T ), except with|τ | ≤ T replaced with T0 ≤ |τ | ≤ T .

Page 95: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

For all T ≥ 0, A(T ) and a(T ) are bounded normal operators,with spectra respectively given by

σ(

A(T ))

= c + iτ : |τ | ≤ T

andσ(a(T )

)= ζ(c + iτ) : |τ | ≤ T.

Remarks:

Recall that a(T ) is invertible if and only if 0 /∈ σ(a(T )

).

More generally, given 0 ≤ T0 ≤ T , the exact counterpart ofthe above theorem holds for A(T0,T ) and a(T0,T ), except with|τ | ≤ T replaced with T0 ≤ |τ | ≤ T .

Page 96: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

For all T ≥ 0, A(T ) and a(T ) are bounded normal operators,with spectra respectively given by

σ(

A(T ))

= c + iτ : |τ | ≤ T

andσ(a(T )

)= ζ(c + iτ) : |τ | ≤ T.

Remarks:

Recall that a(T ) is invertible if and only if 0 /∈ σ(a(T )

).

More generally, given 0 ≤ T0 ≤ T , the exact counterpart ofthe above theorem holds for A(T0,T ) and a(T0,T ), except with|τ | ≤ T replaced with T0 ≤ |τ | ≤ T .

Page 97: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Corollary

Assume that c ≥ 0. Then, the truncated spectral operator a(T )

is invertible if and only if ζ does not vanish on the vertical linesegment s ∈ C : Re(s) = c , |Im(s)| ≤ T.

Remark:Naturally, given 0 ≤ T0 ≤ T , the same result is true for a(T0,T )

provided |Im(s)| ≤ T is replaced with T0 ≤ |Im(s)| ≤ T .

Page 98: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Corollary

Assume that c ≥ 0. Then, the truncated spectral operator a(T )

is invertible if and only if ζ does not vanish on the vertical linesegment s ∈ C : Re(s) = c , |Im(s)| ≤ T.

Remark:Naturally, given 0 ≤ T0 ≤ T , the same result is true for a(T0,T )

provided |Im(s)| ≤ T is replaced with T0 ≤ |Im(s)| ≤ T .

Page 99: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

Assume that c ≥ 0. Then,

1 a is quasi-invertible if and only if ζ does not vanish (i.e., doesnot have any zeroes) on the vertical line Re(s) = c.

2 a is almost invertible if and only if all but (at most) finitelymany zeroes of ζ are off the vertical line Re(s) = c.

Page 100: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

Assume that c ≥ 0. Then,

1 a is quasi-invertible if and only if ζ does not vanish (i.e., doesnot have any zeroes) on the vertical line Re(s) = c.

2 a is almost invertible if and only if all but (at most) finitelymany zeroes of ζ are off the vertical line Re(s) = c.

Page 101: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

Assume that c ≥ 0. Then,

1 a is quasi-invertible if and only if ζ does not vanish (i.e., doesnot have any zeroes) on the vertical line Re(s) = c.

2 a is almost invertible if and only if all but (at most) finitelymany zeroes of ζ are off the vertical line Re(s) = c.

Page 102: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Corollary

1 a is quasi-invertible for all c ∈ (12 , 1) if and only if theRiemann hypothesis is true.

2 a is almost invertible for all c ∈ (12 , 1) if and only if theRiemann hypothesis (RH) is “almost true ”(i.e., on everyvertical line Re(s) = c, c > 1

2 , there are at most finitely manyexceptions to RH).

Page 103: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Corollary

1 a is quasi-invertible for all c ∈ (12 , 1) if and only if theRiemann hypothesis is true.

2 a is almost invertible for all c ∈ (12 , 1) if and only if theRiemann hypothesis (RH) is “almost true ”(i.e., on everyvertical line Re(s) = c, c > 1

2 , there are at most finitely manyexceptions to RH).

Page 104: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Remark:According to our previous results, we have (for the spectral

operator a):

1 invertible ⇒ quasi-invertible ⇒ almost invertible.

2 For c = 12 , a is not almost (and hence, not quasi- etc.)

invertible. (This follows from Hardy’s theorem according towhich ζ has infinitely many zeroes on the critical lineRe(s) = 1

2 .)

3 For c > 1, a is quasi- (and hence, almost) invertible. In fact,we will next see that a is also invertible for c > 1.

Page 105: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Remark:According to our previous results, we have (for the spectral

operator a):

1 invertible ⇒ quasi-invertible ⇒ almost invertible.

2 For c = 12 , a is not almost (and hence, not quasi- etc.)

invertible. (This follows from Hardy’s theorem according towhich ζ has infinitely many zeroes on the critical lineRe(s) = 1

2 .)

3 For c > 1, a is quasi- (and hence, almost) invertible. In fact,we will next see that a is also invertible for c > 1.

Page 106: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Remark:According to our previous results, we have (for the spectral

operator a):

1 invertible ⇒ quasi-invertible ⇒ almost invertible.

2 For c = 12 , a is not almost (and hence, not quasi- etc.)

invertible. (This follows from Hardy’s theorem according towhich ζ has infinitely many zeroes on the critical lineRe(s) = 1

2 .)

3 For c > 1, a is quasi- (and hence, almost) invertible. In fact,we will next see that a is also invertible for c > 1.

Page 107: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Spectrum of a Revisited: Zeta Values and Universality

Recall that, by the Spectral Mapping Theorem ( SMT) forunbounded normal operators, σ(a) (the spectrum of a) is equal tothe closure of the range of ζ on the vertical lineσ(A) = Re(s) = c. Hence, σ(a) is equal to ζ(c + iτ) : τ ∈ Runion its limit points (in C).

Also, by definition of σ(a), a is invertible if and only if 0 /∈ σ(a).

Page 108: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

1 For c > 1, σ(a) is bounded and 0 /∈ σ(a). Hence, a isinvertible.

2 (Universality) For c ∈ (12 , 1), σ(a) = C. (This follows from theBohr–Landau Theorem and, more generally, from theuniversality of ζ in the right critical strip 1

2 < Re(s) < 1.)Hence, a is not invertible (because 0 ∈ σ(a)).

3 For c ∈ (0, 12), σ(a) is unbounded and conditionally (i.e.,under RH), σ(a) 6= C and, in particular, 0 /∈ σ(a), so that a isinvertible.

Remark:The last statement in the third part of the theorem follows from

the non-universality of ζ in the left critical strip 0 < Re(s) < 12 ;

see [KaSt].

Page 109: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

1 For c > 1, σ(a) is bounded and 0 /∈ σ(a). Hence, a isinvertible.

2 (Universality) For c ∈ (12 , 1), σ(a) = C. (This follows from theBohr–Landau Theorem and, more generally, from theuniversality of ζ in the right critical strip 1

2 < Re(s) < 1.)Hence, a is not invertible (because 0 ∈ σ(a)).

3 For c ∈ (0, 12), σ(a) is unbounded and conditionally (i.e.,under RH), σ(a) 6= C and, in particular, 0 /∈ σ(a), so that a isinvertible.

Remark:The last statement in the third part of the theorem follows from

the non-universality of ζ in the left critical strip 0 < Re(s) < 12 ;

see [KaSt].

Page 110: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

1 For c > 1, σ(a) is bounded and 0 /∈ σ(a). Hence, a isinvertible.

2 (Universality) For c ∈ (12 , 1), σ(a) = C. (This follows from theBohr–Landau Theorem and, more generally, from theuniversality of ζ in the right critical strip 1

2 < Re(s) < 1.)Hence, a is not invertible (because 0 ∈ σ(a)).

3 For c ∈ (0, 12), σ(a) is unbounded and conditionally (i.e.,under RH), σ(a) 6= C and, in particular, 0 /∈ σ(a), so that a isinvertible.

Remark:The last statement in the third part of the theorem follows from

the non-universality of ζ in the left critical strip 0 < Re(s) < 12 ;

see [KaSt].

Page 111: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

1 For c > 1, σ(a) is bounded and 0 /∈ σ(a). Hence, a isinvertible.

2 (Universality) For c ∈ (12 , 1), σ(a) = C. (This follows from theBohr–Landau Theorem and, more generally, from theuniversality of ζ in the right critical strip 1

2 < Re(s) < 1.)Hence, a is not invertible (because 0 ∈ σ(a)).

3 For c ∈ (0, 12), σ(a) is unbounded and conditionally (i.e.,under RH), σ(a) 6= C and, in particular, 0 /∈ σ(a), so that a isinvertible.

Remark:The last statement in the third part of the theorem follows from

the non-universality of ζ in the left critical strip 0 < Re(s) < 12 ;

see [KaSt].

Page 112: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

1 For c > 1, σ(a) is bounded and 0 /∈ σ(a). Hence, a isinvertible.

2 (Universality) For c ∈ (12 , 1), σ(a) = C. (This follows from theBohr–Landau Theorem and, more generally, from theuniversality of ζ in the right critical strip 1

2 < Re(s) < 1.)Hence, a is not invertible (because 0 ∈ σ(a)).

3 For c ∈ (0, 12), σ(a) is unbounded and conditionally (i.e.,under RH), σ(a) 6= C and, in particular, 0 /∈ σ(a), so that a isinvertible.

Remark:The last statement in the third part of the theorem follows from

the non-universality of ζ in the left critical strip 0 < Re(s) < 12 ;

see [KaSt].

Page 113: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Open Problems

1 What is σ(a) when c ∈ (0, 12)? (It is a very complicated,closed, unbounded, and (conditionally) strict subset of C.)Is RH needed for σ(a) 6= C to be true? (Compare [KaSt].)

2 Does 0 /∈ σ(a), when c ∈ (0, 12)? Unconditionally (or elseunder the Lindelof hypothesis), we conjecture that 0 /∈ σ(a)and hence, that a is invertible for 0 < c < 1

2 .

3 Conjecturally, for c = 12 , we have that σ(a) = C. Moreover, a

is clearly not invertible for c = 12 since ζ has zeroes on the

critical line and hence, we know that 0 ∈ σ(a).

Page 114: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Open Problems

1 What is σ(a) when c ∈ (0, 12)? (It is a very complicated,closed, unbounded, and (conditionally) strict subset of C.)Is RH needed for σ(a) 6= C to be true? (Compare [KaSt].)

2 Does 0 /∈ σ(a), when c ∈ (0, 12)? Unconditionally (or elseunder the Lindelof hypothesis), we conjecture that 0 /∈ σ(a)and hence, that a is invertible for 0 < c < 1

2 .

3 Conjecturally, for c = 12 , we have that σ(a) = C. Moreover, a

is clearly not invertible for c = 12 since ζ has zeroes on the

critical line and hence, we know that 0 ∈ σ(a).

Page 115: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Open Problems

1 What is σ(a) when c ∈ (0, 12)? (It is a very complicated,closed, unbounded, and (conditionally) strict subset of C.)Is RH needed for σ(a) 6= C to be true? (Compare [KaSt].)

2 Does 0 /∈ σ(a), when c ∈ (0, 12)? Unconditionally (or elseunder the Lindelof hypothesis), we conjecture that 0 /∈ σ(a)and hence, that a is invertible for 0 < c < 1

2 .

3 Conjecturally, for c = 12 , we have that σ(a) = C. Moreover, a

is clearly not invertible for c = 12 since ζ has zeroes on the

critical line and hence, we know that 0 ∈ σ(a).

Page 116: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Open Problems

1 What is σ(a) when c ∈ (0, 12)? (It is a very complicated,closed, unbounded, and (conditionally) strict subset of C.)Is RH needed for σ(a) 6= C to be true? (Compare [KaSt].)

2 Does 0 /∈ σ(a), when c ∈ (0, 12)? Unconditionally (or elseunder the Lindelof hypothesis), we conjecture that 0 /∈ σ(a)and hence, that a is invertible for 0 < c < 1

2 .

3 Conjecturally, for c = 12 , we have that σ(a) = C. Moreover, a

is clearly not invertible for c = 12 since ζ has zeroes on the

critical line and hence, we know that 0 ∈ σ(a).

Page 117: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Spectra, Riemann Zeroes, and Phase Transitions

I. Phase Transition at c = 12

Theorem

Conditionally (i.e., under RH), the spectral operator a isquasi-invertible for all c 6= 1

2 (c ∈ (0, 1)), and (unconditionally) itis not quasi-invertible (not even almost invertible) for c = 1

2 .

Remark:

1 Recall that a is quasi-invertible for all c 6= 12 ⇐⇒ RH.

2 Furthermore, a is not almost invertible for c = 12 because ζ

has infinitely many zeroes on the critical line Re(s) = 12 .

Page 118: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Spectra, Riemann Zeroes, and Phase Transitions

I. Phase Transition at c = 12

Theorem

Conditionally (i.e., under RH), the spectral operator a isquasi-invertible for all c 6= 1

2 (c ∈ (0, 1)), and (unconditionally) itis not quasi-invertible (not even almost invertible) for c = 1

2 .

Remark:

1 Recall that a is quasi-invertible for all c 6= 12 ⇐⇒ RH.

2 Furthermore, a is not almost invertible for c = 12 because ζ

has infinitely many zeroes on the critical line Re(s) = 12 .

Page 119: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Spectra, Riemann Zeroes, and Phase Transitions

I. Phase Transition at c = 12

Theorem

Conditionally (i.e., under RH), the spectral operator a isquasi-invertible for all c 6= 1

2 (c ∈ (0, 1)), and (unconditionally) itis not quasi-invertible (not even almost invertible) for c = 1

2 .

Remark:

1 Recall that a is quasi-invertible for all c 6= 12 ⇐⇒ RH.

2 Furthermore, a is not almost invertible for c = 12 because ζ

has infinitely many zeroes on the critical line Re(s) = 12 .

Page 120: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Spectra, Riemann Zeroes, and Phase Transitions

I. Phase Transition at c = 12

Theorem

Conditionally (i.e., under RH), the spectral operator a isquasi-invertible for all c 6= 1

2 (c ∈ (0, 1)), and (unconditionally) itis not quasi-invertible (not even almost invertible) for c = 1

2 .

Remark:

1 Recall that a is quasi-invertible for all c 6= 12 ⇐⇒ RH.

2 Furthermore, a is not almost invertible for c = 12 because ζ

has infinitely many zeroes on the critical line Re(s) = 12 .

Page 121: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Spectra, Riemann Zeroes, and Phase Transitions

I. Phase Transition at c = 12

Theorem

Conditionally (i.e., under RH), the spectral operator a isquasi-invertible for all c 6= 1

2 (c ∈ (0, 1)), and (unconditionally) itis not quasi-invertible (not even almost invertible) for c = 1

2 .

Remark:

1 Recall that a is quasi-invertible for all c 6= 12 ⇐⇒ RH.

2 Furthermore, a is not almost invertible for c = 12 because ζ

has infinitely many zeroes on the critical line Re(s) = 12 .

Page 122: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

II. Phase Transitions at c = 12 and c = 1

Theorem

The spectral operator a is invertible for c ≥ 1, is not invertiblefor 1

2 < c < 1 (conjecturally, also for c = 12), and invertible

(conditionally) for 0 < c < 12 .

Theorem

The spectrum σ(a) is non-compact (and hence, unbounded),but (conditionally) not all of C for 0 < c < 1

2 . It is all of C for12 < c < 1, and compact (and thus, bounded) for c > 1.

Page 123: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

II. Phase Transitions at c = 12 and c = 1

Theorem

The spectral operator a is invertible for c ≥ 1, is not invertiblefor 1

2 < c < 1 (conjecturally, also for c = 12), and invertible

(conditionally) for 0 < c < 12 .

Theorem

The spectrum σ(a) is non-compact (and hence, unbounded),but (conditionally) not all of C for 0 < c < 1

2 . It is all of C for12 < c < 1, and compact (and thus, bounded) for c > 1.

Page 124: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

II. Phase Transitions at c = 12 and c = 1

Theorem

The spectral operator a is invertible for c ≥ 1, is not invertiblefor 1

2 < c < 1 (conjecturally, also for c = 12), and invertible

(conditionally) for 0 < c < 12 .

Theorem

The spectrum σ(a) is non-compact (and hence, unbounded),but (conditionally) not all of C for 0 < c < 1

2 . It is all of C for12 < c < 1, and compact (and thus, bounded) for c > 1.

Page 125: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

III. Phase Transition at c = 1

Theorem

Unconditionally, the spectral operator a is unbounded for c < 1,and is bounded for c > 1.

Page 126: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

III. Phase Transition at c = 1

Theorem

Unconditionally, the spectral operator a is unbounded for c < 1,and is bounded for c > 1.

Page 127: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Universality of the Riemann Zeta Function ζ = ζ(s)

The “universality”of ζ roughly means that any non-vanishingholomorphic function in 12 < Re(s) < 1 can be approximatedarbitrarily closely by imaginary translates of ζ.

More precisely, we have the following well-known remarkableresult (Extended Voronin Theorem).

Theorem

Let K be any compact subset of 12 < Re(s) < 1, withconnected complement in C. Let g : K → C be a non-vanishingcontinuous function that is holomorphic in the interior of K (whichmay be empty). Then, given any ε > 0, there exists τ ≥ 0(depending only on ε) such that

Jsc(τ) := maxs∈K|g(s)− ζ(s + iτ)| ≤ ε.

Page 128: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Universality of the Riemann Zeta Function ζ = ζ(s)

The “universality”of ζ roughly means that any non-vanishingholomorphic function in 12 < Re(s) < 1 can be approximatedarbitrarily closely by imaginary translates of ζ.

More precisely, we have the following well-known remarkableresult (Extended Voronin Theorem).

Theorem

Let K be any compact subset of 12 < Re(s) < 1, withconnected complement in C. Let g : K → C be a non-vanishingcontinuous function that is holomorphic in the interior of K (whichmay be empty). Then, given any ε > 0, there exists τ ≥ 0(depending only on ε) such that

Jsc(τ) := maxs∈K|g(s)− ζ(s + iτ)| ≤ ε.

Page 129: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Universality of the Riemann Zeta Function ζ = ζ(s)

The “universality”of ζ roughly means that any non-vanishingholomorphic function in 12 < Re(s) < 1 can be approximatedarbitrarily closely by imaginary translates of ζ.

More precisely, we have the following well-known remarkableresult (Extended Voronin Theorem).

Theorem

Let K be any compact subset of 12 < Re(s) < 1, withconnected complement in C. Let g : K → C be a non-vanishingcontinuous function that is holomorphic in the interior of K (whichmay be empty). Then, given any ε > 0, there exists τ ≥ 0(depending only on ε) such that

Jsc(τ) := maxs∈K|g(s)− ζ(s + iτ)| ≤ ε.

Page 130: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

In fact, the set of such τ ’s has a positive lower density and, inparticular, is infinite. More precisely, we have

lim infρ→+∞

1

ρvol1 (τ ∈ [0, ρ] : Jsc(τ) ≤ ε) > 0.

Page 131: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Remarks:

Voronin’s Original Universality Theorem (1975) correspondsto the choice of K := D(34 , r), the closed disk of center 3

4 andradius r , with 0 < r < 1

4 arbitrary.

The compact set K is allowed to have empty interior, in whichcase f is only required to be continuous (and without zeroes)in K . In particular, if K is a line segment (on the real axis),then any continuous curve can be approximated by imaginarytranslates of ζ. Thus ζ encodes all types of complex behaviors:it is chaotic.

If we assume the Riemann hypothesis, then ζ(s) does not haveany zeroes in 1

2 < Re(s) < 1. Hence, applying the UniversalityTheorem to g(s) := ζ(s) and upon some elementarymanipulations, one sees that scaled copies of ζ can be foundwithin itself at all scales. In other words, conditionally, theRiemann zeta function is both fractal and chaotic.

Page 132: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Remarks:

Voronin’s Original Universality Theorem (1975) correspondsto the choice of K := D(34 , r), the closed disk of center 3

4 andradius r , with 0 < r < 1

4 arbitrary.

The compact set K is allowed to have empty interior, in whichcase f is only required to be continuous (and without zeroes)in K . In particular, if K is a line segment (on the real axis),then any continuous curve can be approximated by imaginarytranslates of ζ. Thus ζ encodes all types of complex behaviors:it is chaotic.

If we assume the Riemann hypothesis, then ζ(s) does not haveany zeroes in 1

2 < Re(s) < 1. Hence, applying the UniversalityTheorem to g(s) := ζ(s) and upon some elementarymanipulations, one sees that scaled copies of ζ can be foundwithin itself at all scales. In other words, conditionally, theRiemann zeta function is both fractal and chaotic.

Page 133: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Remarks:

Voronin’s Original Universality Theorem (1975) correspondsto the choice of K := D(34 , r), the closed disk of center 3

4 andradius r , with 0 < r < 1

4 arbitrary.

The compact set K is allowed to have empty interior, in whichcase f is only required to be continuous (and without zeroes)in K . In particular, if K is a line segment (on the real axis),then any continuous curve can be approximated by imaginarytranslates of ζ. Thus ζ encodes all types of complex behaviors:it is chaotic.

If we assume the Riemann hypothesis, then ζ(s) does not haveany zeroes in 1

2 < Re(s) < 1. Hence, applying the UniversalityTheorem to g(s) := ζ(s) and upon some elementarymanipulations, one sees that scaled copies of ζ can be foundwithin itself at all scales. In other words, conditionally, theRiemann zeta function is both fractal and chaotic.

Page 134: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Universality of the Spectral Operator a = ζ(∂)

The “universality”of the spectral operator a = ζ(∂) roughlymeans that any non-vanishing holomorphic function of ∂ in12 < Re(s) < 1 can be approximated arbitrarily closely byimaginary translates of ζ(∂).

More precisely, we have the following operator-theoreticgeneralization of the Extended Voronin Universality Theorem,expressed in terms of the imaginary translates of the T -truncated

spectral operators a(T ) = ζ(∂(T )), where ∂(T ) = ∂(T )c is the

T -truncated infinitesimal shift (with parameter c).

Page 135: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Universality of the Spectral Operator a = ζ(∂)

The “universality”of the spectral operator a = ζ(∂) roughlymeans that any non-vanishing holomorphic function of ∂ in12 < Re(s) < 1 can be approximated arbitrarily closely byimaginary translates of ζ(∂).

More precisely, we have the following operator-theoreticgeneralization of the Extended Voronin Universality Theorem,expressed in terms of the imaginary translates of the T -truncated

spectral operators a(T ) = ζ(∂(T )), where ∂(T ) = ∂(T )c is the

T -truncated infinitesimal shift (with parameter c).

Page 136: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

We begin by providing an operator-theoretic generalization ofthe Universality Theorem that is in the spirit of Voronin’s OriginalUniversality Theorem.

Theorem

Let K be a compact subset of 12 < Re(s) < 1 of the followingform. Assume, for simplicity, that K = K × [−T0,T0], for someT0 ≥ 0, where K is a compact subset of (12 , 1).

Let g : K → C be a non-vanishing continuous function that isholomorphic in the interior of K (which may be empty). Then,given any ε > 0, there exists τ ≥ 0 (depending only on ε) such that

Hop(τ) := supc∈K, 0≤T≤T0

∣∣∣∣∣∣g (∂(T )c

)− ζ

(∂(T )c + iτ

) ∣∣∣∣∣∣ ≤ ε,where ∂(T ) = ∂

(T )c is the T -truncated infinitesimal shift (with

parameter c) and ||.|| is the norm in B(Hc)) (the space of boundedlinear operators on Hc).

Page 137: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

We begin by providing an operator-theoretic generalization ofthe Universality Theorem that is in the spirit of Voronin’s OriginalUniversality Theorem.

Theorem

Let K be a compact subset of 12 < Re(s) < 1 of the followingform. Assume, for simplicity, that K = K × [−T0,T0], for someT0 ≥ 0, where K is a compact subset of (12 , 1).

Let g : K → C be a non-vanishing continuous function that isholomorphic in the interior of K (which may be empty). Then,given any ε > 0, there exists τ ≥ 0 (depending only on ε) such that

Hop(τ) := supc∈K, 0≤T≤T0

∣∣∣∣∣∣g (∂(T )c

)− ζ

(∂(T )c + iτ

) ∣∣∣∣∣∣ ≤ ε,where ∂(T ) = ∂

(T )c is the T -truncated infinitesimal shift (with

parameter c) and ||.|| is the norm in B(Hc)) (the space of boundedlinear operators on Hc).

Page 138: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

We begin by providing an operator-theoretic generalization ofthe Universality Theorem that is in the spirit of Voronin’s OriginalUniversality Theorem.

Theorem

Let K be a compact subset of 12 < Re(s) < 1 of the followingform. Assume, for simplicity, that K = K × [−T0,T0], for someT0 ≥ 0, where K is a compact subset of (12 , 1).

Let g : K → C be a non-vanishing continuous function that isholomorphic in the interior of K (which may be empty). Then,given any ε > 0, there exists τ ≥ 0 (depending only on ε) such that

Hop(τ) := supc∈K, 0≤T≤T0

∣∣∣∣∣∣g (∂(T )c

)− ζ

(∂(T )c + iτ

) ∣∣∣∣∣∣ ≤ ε,where ∂(T ) = ∂

(T )c is the T -truncated infinitesimal shift (with

parameter c) and ||.|| is the norm in B(Hc)) (the space of boundedlinear operators on Hc).

Page 139: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

We begin by providing an operator-theoretic generalization ofthe Universality Theorem that is in the spirit of Voronin’s OriginalUniversality Theorem.

Theorem

Let K be a compact subset of 12 < Re(s) < 1 of the followingform. Assume, for simplicity, that K = K × [−T0,T0], for someT0 ≥ 0, where K is a compact subset of (12 , 1).

Let g : K → C be a non-vanishing continuous function that isholomorphic in the interior of K (which may be empty). Then,given any ε > 0, there exists τ ≥ 0 (depending only on ε) such that

Hop(τ) := supc∈K, 0≤T≤T0

∣∣∣∣∣∣g (∂(T )c

)− ζ

(∂(T )c + iτ

) ∣∣∣∣∣∣ ≤ ε,where ∂(T ) = ∂

(T )c is the T -truncated infinitesimal shift (with

parameter c) and ||.|| is the norm in B(Hc)) (the space of boundedlinear operators on Hc).

Page 140: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

In fact, the set of all such τ ’s has a positive lower density and,in particular, is infinite. More precisely, we have

lim infρ→+∞

1

ρvol1 (τ ∈ [0, ρ] : Hop(τ) ≤ ε) > 0.

Remark:

A remarkable feature of the above generalization is theuniformity in the parameter c ∈ K and in T ∈ [0,T0] of the stated

approximation of g(∂(T )c

).

Page 141: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

In fact, the set of all such τ ’s has a positive lower density and,in particular, is infinite. More precisely, we have

lim infρ→+∞

1

ρvol1 (τ ∈ [0, ρ] : Hop(τ) ≤ ε) > 0.

Remark:

A remarkable feature of the above generalization is theuniformity in the parameter c ∈ K and in T ∈ [0,T0] of the stated

approximation of g(∂(T )c

).

Page 142: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

We will next state a further generalization of theoperator-theoretic Extended Voronin Universality Theorem. Forpedagogical reasons, we will choose assumptions (on the compactset K ) that simplify its formulation. (The appropriate definitionsand possible extensions will be given just after the statement ofthe theorem.)

Page 143: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

Let K be any compact, vertically convex, subset of12 < Re(s) < 1, with connected complement in C. Assume, forsimplicity, that K is symmetric with respect to the real axis. Denoteby K the projection of K onto the real axis, and for c ∈ K, let

T (c) := sup (T ≥ 0 : [c − iT , c + iT ] ⊂ K) .

(By construction, K is a compact subset of (12 , 1) and0 ≤ T (c) <∞, for c ∈ K.) Assume further that c 7→ T (c) iscontinuous on K.

Let g : K → C be a non-vanishing continuous function that isholomorphic in the interior of K (which may be empty). Then,given any ε > 0, there exists τ ≥ 0 (depending only on ε) such that

Jop(τ) := supc∈K, 0≤T≤T (c)

∣∣∣∣∣∣g (∂(T )c

)− ζ

(∂(T )c + iτ

) ∣∣∣∣∣∣ ≤ ε,

Page 144: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

Let K be any compact, vertically convex, subset of12 < Re(s) < 1, with connected complement in C. Assume, forsimplicity, that K is symmetric with respect to the real axis. Denoteby K the projection of K onto the real axis, and for c ∈ K, let

T (c) := sup (T ≥ 0 : [c − iT , c + iT ] ⊂ K) .

(By construction, K is a compact subset of (12 , 1) and0 ≤ T (c) <∞, for c ∈ K.) Assume further that c 7→ T (c) iscontinuous on K.

Let g : K → C be a non-vanishing continuous function that isholomorphic in the interior of K (which may be empty). Then,given any ε > 0, there exists τ ≥ 0 (depending only on ε) such that

Jop(τ) := supc∈K, 0≤T≤T (c)

∣∣∣∣∣∣g (∂(T )c

)− ζ

(∂(T )c + iτ

) ∣∣∣∣∣∣ ≤ ε,

Page 145: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Theorem

Let K be any compact, vertically convex, subset of12 < Re(s) < 1, with connected complement in C. Assume, forsimplicity, that K is symmetric with respect to the real axis. Denoteby K the projection of K onto the real axis, and for c ∈ K, let

T (c) := sup (T ≥ 0 : [c − iT , c + iT ] ⊂ K) .

(By construction, K is a compact subset of (12 , 1) and0 ≤ T (c) <∞, for c ∈ K.) Assume further that c 7→ T (c) iscontinuous on K.

Let g : K → C be a non-vanishing continuous function that isholomorphic in the interior of K (which may be empty). Then,given any ε > 0, there exists τ ≥ 0 (depending only on ε) such that

Jop(τ) := supc∈K, 0≤T≤T (c)

∣∣∣∣∣∣g (∂(T )c

)− ζ

(∂(T )c + iτ

) ∣∣∣∣∣∣ ≤ ε,

Page 146: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

where ∂(T ) = ∂(T )c is the T -truncated infinitesimal shift (with

parameter c) and ||.|| denotes the usual norm in B(Hc) (the spaceof bounded linear operators on Hc).

In fact, the set of such τ ′s has a positive lower density and, inparticular, is infinite. More precisely, we have

lim infρ→+∞

1

ρvol1(τ ∈ [0, ρ] : Jop(τ) ≤ ε) > 0.

Page 147: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Remarks:

To say that K is vertically convex means that if c − iT ’ andc + iT belong to K for some c ∈ K and T ′ ≤ 0 ≤ T , thenthe entire line segment [c − iT ′, c + iT ] is contained in K .

Instead of assuming that K is symmetric with respect to thereal axis, it would suffice to suppose that c + iT ∈ K (forsome c ∈ K and T > 0) implies that c − iT ∈ K , and viceversa.

As in the scalar case (and taking K to be a line segment), we

see that any continuous curve(

of ∂(T )c

)can be approximated

by imaginary translates of a(T ) = ζ(∂(T )c

). Hence, roughly

speaking, the spectral operator a(

or its T -truncations a(T ))

can emulate any type of complex behavior: it is chaotic.

Page 148: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Remarks:

To say that K is vertically convex means that if c − iT ’ andc + iT belong to K for some c ∈ K and T ′ ≤ 0 ≤ T , thenthe entire line segment [c − iT ′, c + iT ] is contained in K .

Instead of assuming that K is symmetric with respect to thereal axis, it would suffice to suppose that c + iT ∈ K (forsome c ∈ K and T > 0) implies that c − iT ∈ K , and viceversa.

As in the scalar case (and taking K to be a line segment), we

see that any continuous curve(

of ∂(T )c

)can be approximated

by imaginary translates of a(T ) = ζ(∂(T )c

). Hence, roughly

speaking, the spectral operator a(

or its T -truncations a(T ))

can emulate any type of complex behavior: it is chaotic.

Page 149: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Remarks:

To say that K is vertically convex means that if c − iT ’ andc + iT belong to K for some c ∈ K and T ′ ≤ 0 ≤ T , thenthe entire line segment [c − iT ′, c + iT ] is contained in K .

Instead of assuming that K is symmetric with respect to thereal axis, it would suffice to suppose that c + iT ∈ K (forsome c ∈ K and T > 0) implies that c − iT ∈ K , and viceversa.

As in the scalar case (and taking K to be a line segment), we

see that any continuous curve(

of ∂(T )c

)can be approximated

by imaginary translates of a(T ) = ζ(∂(T )c

). Hence, roughly

speaking, the spectral operator a(

or its T -truncations a(T ))

can emulate any type of complex behavior: it is chaotic.

Page 150: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Remarks:

To say that K is vertically convex means that if c − iT ’ andc + iT belong to K for some c ∈ K and T ′ ≤ 0 ≤ T , thenthe entire line segment [c − iT ′, c + iT ] is contained in K .

Instead of assuming that K is symmetric with respect to thereal axis, it would suffice to suppose that c + iT ∈ K (forsome c ∈ K and T > 0) implies that c − iT ∈ K , and viceversa.

As in the scalar case (and taking K to be a line segment), we

see that any continuous curve(

of ∂(T )c

)can be approximated

by imaginary translates of a(T ) = ζ(∂(T )c

). Hence, roughly

speaking, the spectral operator a(

or its T -truncations a(T ))

can emulate any type of complex behavior: it is chaotic.

Page 151: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Conditionally (i.e., under RH), and applying the aboveoperator-theoretic Universality Theorem to g(s) := ζ(s), wesee that, roughly speaking, arbitrarily small scaled copies ofthe spectral operator are encoded within a itself. In otherwords, a (or its T -truncation) is both chaotic and fractal.

Page 152: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Future Research Directions

1 Study of the global spectral operator

a = ξ(∂),

where ξ(s) = π−s2 Γ( s2)ζ(s) is the global Riemann zeta

function.

2 Study of the Euler products representation of a; see[HerLa3]. Adelic representation of a.

3 Extension to other L-functions (e.g., Dirichlet L-funcions, zetafunctions of number fields, etc..), as well as to members ofthe Selberg class.

4 Spectral operator and universality (both for ζ and otherL-functions).

Page 153: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Future Research Directions

1 Study of the global spectral operator

a = ξ(∂),

where ξ(s) = π−s2 Γ( s2)ζ(s) is the global Riemann zeta

function.

2 Study of the Euler products representation of a; see[HerLa3]. Adelic representation of a.

3 Extension to other L-functions (e.g., Dirichlet L-funcions, zetafunctions of number fields, etc..), as well as to members ofthe Selberg class.

4 Spectral operator and universality (both for ζ and otherL-functions).

Page 154: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Future Research Directions

1 Study of the global spectral operator

a = ξ(∂),

where ξ(s) = π−s2 Γ( s2)ζ(s) is the global Riemann zeta

function.

2 Study of the Euler products representation of a; see[HerLa3]. Adelic representation of a.

3 Extension to other L-functions (e.g., Dirichlet L-funcions, zetafunctions of number fields, etc..), as well as to members ofthe Selberg class.

4 Spectral operator and universality (both for ζ and otherL-functions).

Page 155: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

Future Research Directions

1 Study of the global spectral operator

a = ξ(∂),

where ξ(s) = π−s2 Γ( s2)ζ(s) is the global Riemann zeta

function.

2 Study of the Euler products representation of a; see[HerLa3]. Adelic representation of a.

3 Extension to other L-functions (e.g., Dirichlet L-funcions, zetafunctions of number fields, etc..), as well as to members ofthe Selberg class.

4 Spectral operator and universality (both for ζ and otherL-functions).

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Future Research Directions

1 Study of the global spectral operator

a = ξ(∂),

where ξ(s) = π−s2 Γ( s2)ζ(s) is the global Riemann zeta

function.

2 Study of the Euler products representation of a; see[HerLa3]. Adelic representation of a.

3 Extension to other L-functions (e.g., Dirichlet L-funcions, zetafunctions of number fields, etc..), as well as to members ofthe Selberg class.

4 Spectral operator and universality (both for ζ and otherL-functions).

Page 157: Fractal Strings, Complex Dimensions and the …math.hawaii.edu/numbertheory2012/Lapidus-Lecture.pdfConsider the string consisting of the sequence of lengths L= fa jg1 j=1,with typically

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