WIKIBOOKS AND WIKIPEDIA ARTICLES

Functional Analysis
A Brief Overview
Collected by Jyoti Swaroop Repaka
12/2/2008

From Wikibooks, the open-content textbooks collection

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Functional Analysis
From Wikibooks, the open-content textbooks collection

Functional Analysis can mean different things, depending on who you ask. The core of the
subject, however, is to study linear spaces with some topology which allows us to do analysis;
ones like spaces of functions, spaces of operators acting on the space of functions, etc. Our
interest in those spaces is twofold: those linear spaces with topology (i) often exhibit interesting
properties that are worth investigating for their own sake, and (ii) have important application in
other areas of mathematics (e.g., partial differential equations) as well as theoretical physics; in
particular, quantum mechanics. (ii) was what initially motivated the development of the field;
Functional Analysis has its historical roots in linear algebra and the mathematical formulation of
quantum mechanics in the early 20 century. (Seew:Mathematical formulation of quantum
mechanics)

The aim of the book is to cover those two interests simultaneously. The book consists of two
parts. The first part covers the basics of Banach spaces theory with the emphasis on its
applications. The second part covers topological vector spaces, especially locally convex ones,
generalization of Banach spaces. In both parts, we give principal results e.g., the closed graph
theorem, resulting in some repetition. One reason for doing this organization is that one often
only needs a Banach-version of such results. Another reason is that this approach seems more
pedagogically sound; the statement of the results in their full generality may obscure its
simplicity. Exercises are meant to be unintegrated part of the book. They can be skipped
altogethFrom Wikibooks, the open-content textbooks collectioner, and the book should be fully
read and understood. Some alternative proofs and additional results are delegated as exercises
when their inclusion may disrupt the flow of the exposition.

Knowledge of measure theory will not be needed except for Chapter 5, where measures play vital
roles in the formulation of the spectrum theorem, a key machinery in Functional Analysis. On the
other hand, solid knowledge in general topology is mandatory, for topologies that are not metric
and (topological notions such as compactness) play important roles. (For that, read, for
example,Topology, which contains more than you need to know.)
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Contents
Part 1:

 Chapter 1: Preliminaries (May 28, 2008)

 Chapter 2: Banach spaces (Sep 1, 2007)
 Chapter 3: Hilbert spaces (June 4, 2008)
 Chapter 4: Geometry of Banach spaces (May 27, 2008)

Part 2:

 Chapter 5: Topological vector spaces - (May 28, 2008)

 Chapter 6: C*-algebras (October 30, 2008)

Part 3:

 Chapter 7: Special topics (June 6, 2008)

Fredholm theory
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Chapter 1: Preliminaries
In this chapter we gather some standard results to primarily to fix language and formulation,
though some of them may not belong to functional analysis proper. In particular, we prove the
Hahn-Banach theorem, which is really a result in linear algebra. These proofs of these theorems
will be found in the Topology and Linear Algebra books.

Contents
 1 Theorem (Heine-Borel)
 2 Theorem (Tychonoff Theorem)
 3 Theorem (Baire Category Theorem)
 4 Theorem (Urysohn Metrization Theorem)
 5 Theorem (Arzelà–Ascoli)
 5.1 Definitions
 6 Measure theory
 7 Theorem (Hahn-Banach)

Theorem (Heine-Borel)
1. Theorem (Heine-Borel) A metric space is compact if and only if it is totally bounded and
complete.

Theorem (Tychonoff Theorem)

1. Theorem (Tychonoff) Every product space of a nonempty collection of compact spaces is
compact.

An linear operator from a linear space to a scalar field is called a linear functional.

Theorem (Baire Category Theorem)

1. Theorem (Baire) Every complete metric space is not the union of nowhere dense subsets.

By modifying the proof so to use compact sets instead of balls we can show that every locally
compact (Hausdorff?) space is also non-meager, though we will not be needing this.

1. Exercise Show by contradiction that the set of real numbers is uncountable, using the theorem.

In particular, a dense set may be meager.

1. Exercise Give an example of a dense but meager set. (Hint: you can find such an example in
the book.)
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Theorem (Urysohn Metrization Theorem)

1. Theorem (metrization theorem) If K is normal and second-countable, then K is metrizable.
Proof: Define by

Then for every j x = y. The converse of this also holds.

Since d(x,y) = d(y,x), d is a metric. Let ηd be the topology for K that is induced by d. We
claim ηd coincides with the topology originally given to K. In light of:

1 Lemma Let X be a set. If are a pair of topologies for X and if τ1 is Hausdorff

and τ2 is compact, then τ1 = τ2.

it suffices to show that ηd is contained in the original topology. But for any ,
since is the limit of a sequence of continuous functions on a compact set, is
continuous. Consequently, an ηd-open ball in d with center at x is open (in the original topology.)

Theorem (Arzelà–Ascoli)
Definitions

 A set of functions F defined on [a,b] is uniformly bounded if there exists an M such that
for any function f within F, f(x)<M for all x within [a,b].
 A set of functions F defined on [a,b] is equicontinuous if for all ε > 0, there exists a δ >
0 such that for all and for all
, .

Now, the following is the statement of the theorem:

A set of continuous functions F defined on [a,b] is relatively compact if and only if it is
equicontinuous and uniformly bounded.

1. Theorem (Arzelà–Ascoli) Let be a family of continuous real-valued functions on a

compact space K. If is both equicontinuous and uniformly bounded, then is relatively

compact (or totally bounded) in the metric .

(A proof can be found at An Introduction to Analysis/Continuous functions on a compact space.)

Measure theory
2 Theorem (Minkowski's inequality) If and p > 1, then:
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Proof: The inequality is a consequence of Hölder's inequality:

(where we let q by 1 / p + 1 / q =
1)

which is then a simple consequence of the following inequality:

(where a, b > 0)

To simplify notation we denote | f | , | g | by f and g, respectively. First we have:

Then Hölder's inequality followed by division gives:

where . The desired inequality follows after noting (p − 1)q = p and

.

By letting μ be a counting measure we also obtain the analog for the series:

2 Corollary

Theorem (Hahn-Banach)
1. Theorem (Hahn-Banach) Let be a real vector space and p be a function on such
that and p(tx) = tp(x)for any and any t > 0.
If is a closed subspace and f is a linear functional on such that ,
then f admits a linear extension F defined in such that .
Proof: First suppose that for some . By
hypothesis we have:

for all ,

which is equivalent to:

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Let c be some number in between the sup and the inf. Define F(x + tz) = f(x)
+ tc for . It follows that F is an desired extension. Indeed, f = F on being
clear, we also have:

if t > 0

and

if t < 0.

Let Ω be the collection of pairs (H,gH) where H is linear space with and gH is a
linear function on that extends f and is dominated by p. It can be shown that Ω is partially
ordered and the union of every totally ordered sub-collection of Ω is in Ω (TODO: need more
details). Hence, by Zorn's Lemma, we can find the maximal element (L,gL) and by the early part
of the proof we can show that .

We remark that a different choice of c in the proof results in a different extension. Thus, an
extension given by the Hahn-Banach theorem in general is not unique.

1. Exercise State the analog of the theorem for complex vector spaces and prove that this version
can be reduced to the real version. (Hint: Ref(ix) = Imf(x))

(TODO: mention moment problem.)

1 Lemma Let g,f1,...,fn be linear functionals on the same linear space. g is a linear combination
of f1,...,fn if and only if .
Proof: The direct part is clear. We shall show the converse by induction. Suppose n = 1. We may
suppose that there is y such that f1(y) = 1. For any x, since ,

g(x − f1(x)y) = 0 or g(x) = g(y)f1(x).

The basic case is thus proven. Now, suppose the lemma holds for some n - 1. As before, we may
suppose that there is some y such that

fn(y) = 1 while f1(y) = f2(y) = ... = fn − 1(y) = 0.

For any , since fk(x − fn(x)y) = 0 for every k = 1,2,...,n, g(x − fn(x)y) = 0.
Hence, the application of the inductive hypothesis to the linear
functional gives:
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for some scalars a1,...,an. (TODO: give a simpler proof that does not use induction.)

A set Γ of real (or complex)-valued functions defined on a set X is said to separate points
in X if and

f(x) = f(y) for every implies x = y

With regard to this notion, there are two important facts that will be used in Chapter 4.

1. Theorem Let X be a topology generated by a set Γ of real(or complex)-valued functions.

Then X is Hausdorff if and only if Γseparates points in X.
Proof: Left as an exercise.
 9

Chapter 2: Banach spaces

Let be a linear space. A norm is a real-valued function f on , with the
notation , such that

 (i) (w:triangular inequality)

 (ii) for any scalar λ
 (iii) implies x = 0.

(ii) implies that . This and (ii) then

implies for all x; that is, norms are always non-
negative. Note that (i) implies that:

and

and so: . (So, the map is continuous.) If only (i) and

(ii) hold, then is called a seminorm.

A linear space with a norm is called a normed space. With the metric a
normed space is a metric space. We define theoperator norm of a continuous linear
operator f between normed spaces and , denoted by , by

We thus obtained an example of a normed space. Another example, which is more historical but
we will be using recurrently throughout the book, is the lp space; that is, the space of convergent
series. It is clear that lp is a linear space. That the lp norm is in fact a norm follows
from w:Minkowski's inequality. (See Chapter 1) It remains to show that it is complete. For that,
let be a Cauchy sequence. This means explicitly that

as

For each n, by completeness, exists and we denote it by yn. We claim:

as

Let ε > 0 be given. Since xk is Cauchy, there is N such that

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for k,j > N

Fix k > N. Then, for any m,

Thus,

Hence, with . (Note

since .) lp is also separable; i.e., it has a countable
dense subset. This follows from the fact that lp can be written as a union of subspaces with
dimensions 1, 2, ..., which are separable. (TODO: need more details.)

2 Theorem Let T be a linear operator from a normed space to a normed space .

 (i) T is continuous if and only if there is a constant C > 0 such that for
all

 (ii) any C as in (i) }, and if has nonzero

element.

Proof: See w:bounded operator and see w:operator norm.

It is clear that an addition and a scalar multiplication are both continuous. (Use a sequence to
check this.) Since the inverse of an addition is again addition, an addition is also an open
mapping. Ditto to nonzero-scalar multiplications. In other words, translations and dilations of
open (resp. closed) sets are again open (resp. closed).

A complete normed space is called a Banach space. While there is seemingly no prototypical
example of a Banach space, we still give one example of a Banach space: , the space of all
continuous functions on a compact space , can be identified with a Banach space by
introducing the norm:

It is a routine exercise to check that this is indeed a norm. The completeness holds since, from
real analysis, we know that a uniform limit of a sequence of continuous functions is continuous.
In concrete spaces like this one, one can directly show the completeness. More often than that,
 11

however, we will see that the completeness is a necessary condition for some results (especially,
reflexivity), and thus the space has to be complete. The matter will be picked up in the later
chapter.

A graph of any function f defined on a set E is the set . A continuous

function between metric spaces has closed graph. In fact, suppose . By
continuity, ; in other words, y = f(x) and so (x,y) is in the graph of f. It follows
(in the next theorem) that a continuous linear operator with closed graph has closed domain.
(Note the continuity here is a key; we will shortly study a linear operator that has closed graph
but has non-closed domain.)

2 Theorem Let be a continuous densely defined linear operator between Banach

spaces. Then its domain is closed; i.e., T is defined everywhere.
Proof: Suppose and Tfj is defined for every j; i.e., the sequence fj is in the domain of T.
Since

Tfj is Cauchy. It follows that (fj,Tfj) is Cauchy and, by completeness, has limit (g,Tg).
Since f = g, Tf is defined; i.e., f is in the domain of T.

The theorem is frequently useful in application. Suppose we wish to prove some linear formula.
We first show it holds for a function with compact support and of varying smoothness, which is
usually easy to do because the function vanishes on the boundary, where much of complications
reside. Because of th linear nature in the formula, the theorem then tells that the formula is true
for the space where the above functions are dense.

We shall now turn our attention to the consequences of the fact that a complete metric space is a
Baire space. They tend to be more significant than results obtained by directly appealing to the
completeness. Note that not every normed space that is a Baire space is a Banach space.

2 Theorem (open mapping theorem) Let be Banach spaces. If is a

continuous linear surjection, then it is an open mapping; i.e., it maps open sets to open sets.
Proof: Let . Since T is
surjective, . Then by Baire's Theorem,
some B(k)contains an interior point; thus, it is a neighborhood of 0.

A linear operator from a normed space to is said to be closed if its graph, that is the
set , is closed in .

2 Corollary If T is a continuous linear operator between Banach spaces with closed range, then
there exists a K > 0 such that if then for some x with Tx = y.
Proof: This is immediate once we have the notion of a quotient map, which we now define as
follows.
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Let I be a subspace of a normed space . The quotient space is a normed space with
norm:

where is a canonical projection. That is a norm is obvious except for the

triangular inequality. But since

for all . Taking inf over i,j separately we get:

Suppose, further, that is also a commutative algebra and I is an ideal. Then becomes a
quotient algebra. In fact, as above, we have:

for all since π is a homomorphism. Taking inf completes the proof.

So, the only nontrivial part is the completeness. It turns out that is a Banach space (or
algebra) if I is closed. (TODO: a proof of this.)

2 Corollary If and are Banach spaces, then the norms

and are equivalent; i.e., each norm is dominated by the other.
Proof: Let be the identity map. Then we have:

This is to say, I is continuous. Since Cauchy sequences apparently converge in the

norm , the open mapping theorem says that the inverse of I is also continuous,
which means explicitly:

By the same argument we can show that is dominated by

2 Corollary Any finite-dimensional normed spaces are equivalent.

It is easy to show that any continuous closed linear operator has a closed domain. The next result
is arguably the most important theorem in the theory of Banach spaces.

2 Theorem (closed graph theorem) Let be Banach spaces, and a linear

operator. The following are equivalent.
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 (i) T is continuos.
 (ii) If and Txj is convergent, then .
 (iii) The graph of T is closed.

Proof: That (i) implies (ii) is clear. To show (iii), suppose (xj,Txj) is convergent in X.
Then xj converges to some x0 or , andTxj − Tx is convergent. Thus, if (ii)
holds, . Finally, to prove (iii) (i), we note that Corollary 2.something
gives the inequality:

since by hypothesis the norm in the left-hand side is complete. Hence, if ,

then .

Note that when the domain of a linear operator is not a Banach space (e.g., just dense in a Banach
space), the condition (ii) is not sufficient for the graph of the operator to be closed. (It is not hard
to find an example of this in other fields, but the reader might want to construct one himself as an
exercise.)

2 Corollary A linear functional u on a normed space is continuous if and only if it has closed
kernel.
Proof: is closed if u is continuous. To show the converse,
suppose and u(xj) is convergent. Since the corollary is obvious when u is identically
zero, we may suppose that there is z such that u(z) = 1. Then the sequence xj − u(xj)z has a limit in
the kernel of u, since the kernel is closed. It follows:

Finally, note that an injective linear operator has closed graph if and only if its inverse is closed,
since the map sends closed sets to closed sets.

When are normed spaces, by we denote the space of all continuous linear
operators from to .

2 Theorem If is complete, then every Cauchy sequence Tn in converges to a

limit T and .
Proof: Let Tn be a Cauchy sequence in operator norm. For each , since

and is complete, there is a limit y to which Tn(x) converges. Define T(x) = y. T is linear since
the limit operations are linear. It is also continuous
since .
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Finally,
and as .

2 Theorem (uniform boundedness principle) Let be a family of continuos

functions where Y is a normed linear space. Suppose that is non-
meager and that:

for each

It then follows: there is some open and such that

(a)

If we assume in addition that each member of is a linear operator and X is a normed linear
space, then

(b)

Proof: Let be a sequence. By

hypothesis, and each Ej is closed since is open by

continuity. It then follows that some EN has an interior point y; otherwise, M fails to be non-
meager. Hence, (a) holds. To show (b), making additional assumptions, we can find an open
ball . It then follows: for any and any
with ,

A family Γ of linear operators is said to be equicontinuous if given any neighborhood W of 0 we

can find a neighborhood V of 0 such that:

for every

The conclusion of the theorem, therefore, means that the family satisfying the hypothesis of the
theorem is equicontinuous.

2 Corollary Let be normed spaces. Let be a bilinear or sesquilinear

operator. If T is separately continuous (i.e., the function is continuous when all but one variables
are fixed) and is complete, then T is continuous.
Proof: For each ,
 15

where the right-hand side is finite by continuity. Hence, the application of the principle of
uniform boundedness to the family shows the family is
equicontinuous. That is, there is K > 0 such that:

for every and every .

The theorem now follows since is a metric space.

Since scalar multiplication is a continuous operation in normed spaces, the corollary says, in
particular, that every linear operator on finite dimensional normed spaces is continuous. The next
is one more example of the techniques discussed so far.

2. Theorem (Hahn-Banach) Let be normed space and be a linear

subspace. If z is a linear functional continuous on , then there exists a continuos linear
functional w on such that z = w on and .
Proof: Apply the Hahn-Banach stated in Chapter 1 with as a sublinear functional
dominating z. Then:

that is, .

2. Corollary Let be a subspace of a normed linear space . Then x is in the closure of

if and only if z(x) = 0 for any that vanishes on .
Proof: By continuity . Thus, if , then .
Conversely, suppose . Then there is a δ > 0 such that for
every . Define a linear functional z(y + λx) = λ for and scalars λ. For
any , since ,

Since the inequality holds for λ = 0 as well, z is continuous. Hence, in view of the Hahn-Banach
theorem, while we still have z = 0 on and .

Here is a classic application.

2 Theorem Let be Banach spaces, be a linear operator. If

implies that for every , then T is continuous.
Proof: Suppose and . For every , by hypothesis and the
continuity of z,

.
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Now, by the preceding corollary y = 0 and the continuity follows from the closed graph
theorem.

2 Theorem Let be a Banach space.

 (i) Given , E is bounded if and only if for every

 (ii) Given , if f(x) = 0 for every , then x = 0.

Proof: (i) By continuity,

This proves the direct part. For the converse, define Txf = f(x) for . By
hypothesis

for every .

Thus, by the principle of uniform boundedness, there is K > 0 such that:

for every

Hence, in view of Theorem 2.something, for ,

(ii) Suppose . Define for scalars s. Now, f is continuous since its

domain is finite-dimensional, and so by the Hahn-Banach theorem we could extend the domain
of f in such a way we have .

2. Corollary Let be Banach, and dense and linear.

Then for every if and only if and for

every .
Proof: Since fj is Cauchy, it is bounded. This shows the direct part. To show the converse,
let . If , then

By denseness, we can take yj so that .

2 Theorem Let T be a continuous linear operator into a Banach space. If

where I is the identity operator, then the inverseT − 1 exists, is continuous and can be written by:
 17

for each x in the range of T.

Proof: For , we have:

Since the series is geometric by hypothesis, the right-hand side is finite.

Let . By the above, each time x is fixed, Sn(x) is a Cauchy sequence and
the assumed completeness implies that the sequence converges to the limit, which we denote

by S(x). Since for each x , it follows from the principle of uniform

boundedness that:

Thus, by the continuity of norms,

This shows that S is a continuous linear operator since the linearity is easily checked. Finally,

Hence, S is the inverse to T.

2 Corollary The space of invertible continuous linear operators is an open subspace

of .

Proof: If and , then S is invertible.

If is a scalar field and is a normed space, then is called a dual of and is

denoted by . In view of Theorem 2.something, it is a Banach space.

A linear operator T is said to be a compact operator if the image of the open unit ball under T is
relatively compact. We recall that if a linear operator between normed spaces maps bounded sets
to bounded sets, then it is continuous. Thus, every compact operator is continuous.

2 Theorem Let be a reflexive Banach space and be a Banach space. Then a linear
operator is a compact operator if and only if T sends weakly convergent
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sequence to norm convergent ones.

Proof: [1] Let xn converges weakly to 0, and suppose Txn is not convergent. That is, there is an ε >
0 such that for infinitely many n. Denote this subsequence by yn. By hypothesis we
can then show (TODO: do this indeed) that it contains a subsequence such that
converges in norm, which is a contradiction. To show the converse, let E be a bounded set. Then
since is reflexive every countable subset of E contains a sequence xn that is Cauchy in the
weak topology and so by the hypothesis Txn is a Cauchy sequence in norm. Thus, T(E) is
contained in a compact subset of .

2 Lemma Let r > 0. A normed space is finite-dimensional if and only if its closed ball of
radius r is compact.
Proof: If is not finite dimensional, using w:Riesz's_lemma, we can construct a
sequence xj such that:

for any sequence of scalars ak.

Thus, in particular, for all j,k. (TODO: fill gaps)

2 Corollary

 (i) Every finite-rank linear operator T (i.e., a linear operator with finite-dimensional
range) is a compact operator.
 (ii) Every linear operator T with the finite-dimensional domain is continuous.

Proof: (i) is clear, and (ii) follows from (i) since the range of a linear operator has dimension less
than that of the domain.

2 Theorem The set of all compact operators into a Banach space forms a closed subspace of the
set of all continuous linear operators in operator norm.
Proof: Let T be a linear operator and ω be the open unit ball in the domain of T. If T is compact,
then is bounded (try scalar multiplication); thus, T is continuous. Since the sum of two
compacts sets is again compact, the sum of two compact operators is again compact. For the
similar reason, αT is compact for any scalar α. We conclude that the set of all compact operators,
which we denote byE, forms a subspace of continuous linear operators. To show the closedness,
suppose S is in the closure of E. Let ε > 0 be given. Then there is some compact operator T such
that . Also, since T is a compact operator, we can cover T(ω) by a finite
number of open balls of radius ε / 2 centered at z1,z2,...zn, respectively. It then follows:
for , we can find some j so that and
so . This is to say, S(ω) is totally
bounded and since the completeness its closure is compact.

2 Corollary If Tn is a sequence of compact operators which converges in operator norm, then its
limit is a compact operator.
 19

2 Theorem (transpose) Let be Banach spaces, and be a continuous linear

operator. Define by the identity . Then is
continuous both in operator norm and the weak-* topology, and .
Proof: For any

Thus, and is continuous in operator norm. To show the opposite inequality, let ε
> 0 be given. Then there is with . Using the Hahn-Banach
theorem we can also find and z0(u(x0)) = | u(x0) | . Hence,

We conclude . To show weak-* continuity let V be a neighborhood of 0 in ;

that is, for
some . If we let yj = u(xj), then

since . This is to say, is weak-* continuous.

2 Theorem Let , , and a linear subspace.

p q
If is closed in both L and L , then the topology for inherited from Lp and Lq coincide.
Proof: The identity map is continuous. Since I is a
bijection between Banach spaces, the open mapping theorem says I is a homeomorphism.

2 Theorem (lifting property of l1) Let be Banach spaces, and be a

linear surjection. If is a a continuous linear operator, there exists a continuous
linear operator such that .
1
Proof: Let en be a canonical basis for l . Using Corollary 2.something to the open mapping
theorem we obtain a sequence xn and constant K so that:

Qxn = Ten, and .

Then . Define

by . Then , and is continuous since .

References
 20

1. ↑ This proof and a few more related results appear in [1]

 21

Chapter 3: Hilbert spaces

The chapter is almost done, but there are still some errors in the proofs that have to be
rectified. (Also, we could add a discussion of the polar decomposition of unbounded
operators.)

A normed space is called a pre-Hilbert space if for each pair (x,y) of elements in the space there
is a unique complex (or real) number called an inner product of x and y, denoted by ,
subject to the following conditions:

 (i) The functional is linear.

 (ii)
 (iii) for every nonzero x

The inner product in its second variable is not linear but antilinear: i.e., if ,
then for scalars α. We define and this becomes a norm.
Indeed, it is clear that and (iii) is the reason that implies that x =
0. Finally, the triangular inequality follows from the next lemma.

3.1 Lemma (Schwarz's inequality) where the equality holds if and only
if we can write x = λy for some scalar λ.

If we assume the lemma for a moment, it follows:

since for any complex number α

Proof of Lemma: First suppose . If , it then follows:

where the equation becomes 0 if and only if x = λy. Since we may suppose that , the
general case follows easily.

3.2 Theorem A normed linear space is a pre-Hilbert space if and only

if .
Proof: The direct part is clear. To show the converse, we define

.
 22

It is then immediate that , and .

Moreover, since the calculation:

we have: . If α is a real scalar and αj is a sequence of

rational numbers converging to α, then by continuity and the above, we

get:

3.3 Lemma Let be a pre-Hilbert. Then in norm if and only if for any
and as .
Proof: The direct part holds since:

as .

Conversely, we have:

as

3.4 Lemma Let D be a non-empty convex closed subset of a Hilbert space. Then D admits a
unique element z such that

Proof: By δ denote the right-hand side. Since D is nonempty, δ > 0. For each n = 1,2,..., there is
some such that . That is, . Since D is
convex,

and so .

It follows:

as
 23

This is to say, xn is Cauchy. Since D is a closed subset of a complete metric space, whence it is
complete, there is a limit with . The uniqueness follows since if
we have

where the right side is for the same reason as before.

The lemma may hold for a certain Banach space that is not a Hilbert space; this question will be
investigated in the next chapter.

For a nonempty subset , define to be the intersection of the kernel of the linear
functional taken all over . (In other words, is the set of all
that is orthogonal to every .) Since the kernel of a continuos function is closed and the
intersection of linear spaces is again a linear space, is a closed (linear) subspace of .
Finally, if , then andx = 0.

3.5 Lemma Let be a linear subspace of a pre-Hilbert space. Then if and only
if .
Proof: The Schwarz inequality says the inequality

is actually equality if and only if z and z + w are linear dependent. (TODO: the proof isn't
quite well written.)

3.6 Theorem (orthogonal decomposition) Let be a Hilbert space and be a closed

subspace. For every we can write

x=y+z

where and , and y and z are uniquely determined by x.

Proof: Clearly is convex, and it is also closed since a translation of closed set is again
closed. Lemma 3.4 now gives a uniqueelement such
that . Let z = x − y. By Lemma 3.5, . For
the uniqueness, suppose we have written:

x = y' + z'

where and . By Lemma 3.5, .

But, as noted early, such y' must be unique; i.e., y' = y.

3.7 Corollary Let be a subspace of a Hilbert space . Then

 (i) if and only if is dense in .

 24

 (ii) .

Proof: By continuity, . (Here, denotes the image of the

set E under the map .) This gives:

and so

by the orthogonal decomposition. (i) follows. Similarly, we have:

Hence, (ii).

3.8 Theorem (representation theorem) Every continuous linear functional f on a Hilbert

space has the form:

with a unique and

Proof: Let . Since f is continuous, is closed. If , then take y =

0. If not, by Corollary 3.6, there is a nonzero orthogonal to . By
replacing z with we may suppose that . For any , since zf(x) − f(z)x is
in the kernel of f and thus is orthogonal to z, we have:

and so:

The uniqueness follows since for all means

that . Finally, we have the identity:

where the last inequality is Schwarz's inequality.

3.9 Exercise Using Lemma 1.6 give an alternative proof of the preceding theorem.

In view of Theorem 3.5, for each , we can write: x = y + z where , a closed

subspace of , and . Denote each y, which is uniquely determined by x, by π(x). The
function π then turns out to be a linear operator. Indeed, for given , we write:
 25

x1 = y1 + z1,x2 = y2 + z2 and x1 + x2 = y3 + z3

where and for j = 1,2,3. By the uniqueness of decomposition

π(x1) + π(x2) = y1 + y2 = y3 = π(x1 + x2).

The similar reasoning shows that π commutes with scalars. Now, for
(where and ), we have:

That is, π is continuous with . In particular, when is a nonzero space, there

is with π(x0) = x0 and and consequently . Such π is called
an orthogonal projection (onto ).

The next theorem gives an alternative proof of the Hahn-Banach theorem.

3 Theorem Let be a linear (not necessarily closed) subspace of a Hilbert space. Every
continuous linear functional on can be extended to a unique continuous linear functional
on that has the same norm and vanishes on .
Proof: Since is a dense subset of a Banach space , by Theorem 2.something, we
can uniquely extend f so that it is continuous on . Define . By the same
argument used in the proof of Theorem 2.something (Hahn-Banach) and the fact
that , we obtain . Since g = 0 on , it remains to show the
uniqueness. For this, let h be another extension with the desired properties. Since the kernel
of f − h is closed and thus contain , f = h on . Hence, for any ,

The extension g is thus unique.

3 Theorem Let be an increasing sequence of closed subspaces, and be the closure

of . If is an orthogonal projection onto , then for every
.
Proof: Let . Then is closed. Indeed,
if and , then

and so . Since , the proof is complete.

Let be Hilbert spaces. The direct sum of is defined as

follows: let and define
 26

It is then easy to verify that is a Hilbert space. It is also clear that this
definition generalizes to a finite direct sum of Hilbert spaces. (For an infinite direct sum of
Hilbert spaces, see Chapter 5.)

Recall from the previous chapter that an isometric surjection between Banach spaces is called
"unitary".

3 Lemma (Hilbert adjoint) Define

by . (Clearly, V is a unitary operator.) Then is a
graph (of some linear operator) if and only if T is densely defined.
Proof: Set . Let . Then

for every v.

That is to say, , which is a graph of a linear operator by assumption. Thus, u = 0.

For the converse, suppose . Then

(j = 1,2)

and so for every v in the domain of T, dense. Thus, u1 = u2, and is a

graph of a function, say, S. The linear of S can be checked in the similar manner.

Remark: In the proof of the lemma, the linear of T was never used.

For a densely defined T, we thus obtained a linear operator which we call T * . It is characterized
uniquely by:

for every u,

or, more commonly,

for every u.

Furthermore, T * f is defined if and only if

is continuous for every . The operator T * is called the Hilbert adjoint (or just
adjoint) of T. If T is closed in addition to having dense domain, then
 27

Here, . By the above lemma, T * is densely defined. More

generally, if a densely defined operator T has a closed
extension S (i.e., ), then S and S * are both densely defined. It
follows: . That is, T * is densely defined and T * * exists. That S = T * * follows
from the next theorem.

3 Theorem Let be a densely defined operator. If T * is also densely defined,

then

for any closed extension S of T.

Proof: As above,

Here, the left-hand side is a graph of T * * . For the second identity, since is a Hilbert
space, it suffices to show . But this follows from Lemma
3.something.

The next corollary is obvious but is important in application.

3 Corollary Let be Hilbert spaces, and a closed densely defined

linear operator. Then if and only if there is some K > 0 such that:

for every

3 Lemma Let be a densely defined linear operator.

Then
Proof: f is in either the left-hand side or the right-hand side if and only if:

for every u.

(Note that for every u implies .)

In particular, a closed densely defined operator has closed kernel. As an application we shall
prove the next theorem.

3 Theorem Let be a closed densely defined linear operator. Then T is

surjective if and only if there is a K > 0 such that

for every .
 28

Proof: Suppose T is surjective. Since T has closed range, it suffices to show the estimate
for . Let with Tu= f. Denoting by G the inverse
of T restricted to , we have:

The last inequality holds since G is continuous by the closed graph theorem. To show the
converse, let be given. Since T * is injective, we can define a linear
functional L by for .,

for every .

Thus, L is continuous on the range of T * . It follows from the Hahn-Banach theorem that we may
assume that L is defined and continuous on . Thus, by Theorem 3.something, we can
write in with some u. Since L(T * f) is continuous for ,

for every .

Hence, Tu = T * * u = g.

3 Corollary Let be as given in the preceding theorem. Then is closed if and

only if is closed.
Proof: Define by S = T. It thus suffices to show S * is surjective when T has
closed range (or equivalently S is surjective.) Suppose S * fj is convergent. The preceding theorem
gives:

as .

Thus, is Cauchy in the graph of S * , which is closed.

Hence, S fj converges within the range of S * . The converse holds since T * * = T.
*

We shall now consider some concrete examples of densely defined linear operators.

3 Theorem If is continuous, then T * is defined everywhere and continuous,

and

Proof: It is clear that T * is defined everywhere, and its continuity is then the consequence of the
closed graph theorem. Now,

for every f.

Thus, T * is continuous with . In particular, T * T is continuous, and so:

 29

for every f.

That is to say, . Applying this result to T * in place

of T completes the proof.

(Recall that a isometric linear surjection is called unitary.)

3 Corollary A linear operator is unitary if and only if U * U and UU * are

identities.
Proof: The direct part follows from

and the converse from the identity

(Note that: .)

Actually, this was how unitary operators were defined historically. We give a much stronger
characterization of unitary operators in Chapter 5, where we have the spectrum decomposition
theorem.

3 Exercise Construct an example so as to show that an isometric operator (i.e., a linear operator
that preserves norm) need not be unitary. (Hint: a shift operator.)

A densely defined linear operator T is called "symmetric" if . If the equality in

the above holds, then T is called "self-adjoint". In light of Theorem 3.something, every self-
adjoint is closed and densely defined. If T is symmetric, then since T * * is an extension of T,

3 Theorem Let be densely defined linear operators for j = 1,2.

Then where the equality holds if (j =
1,2) and is closed and densely defined.
Proof: Let . Then

for
every .

But, by definition, denotes . Hence, is an extension

of . For the second part, the fact we have just proved gives:

.
 30

3 Theorem Let be a Hilbert spaces. If is a closed densely

defined operator, then T * T is a self-adjoint operator (in particular, densely defined and closed.)
Proof: In light of the preceding theorem, it suffices to show that T * T is closed.
Let be a sequence such that (uj,T * Tuj)converges to limit (u,v). Since

there is some such that: . It follows from the closedness

* *
of T that T f = v. Since and Tis
closed, T * Tu = T * f = v.

3 Theorem Let T be a symmetric densely defined operator. If T is surjective, then T is self-adjoint

and injective and T − 1 is self-adjoint and bounded.
Proof: If Tu = 0,

and u = 0

if T has a dense range (for example, it is surjective). Thus, T is injective. Since T − 1 is closed (by
Lemma 2.something) and , is a continuous linear
operator. Finally, we have:

Here, , and the equality holds since the domains

* −1
of T and T coincide. Hence, T is self-adjoint. Since we have just proved that the inverse of a
self-adjoint is self-adjoint, we have: (T − 1) − 1 is self-adjoint.

3 Lemma Let S,T be linear operators from a pre-Hilbert space over to itself.
If for , then S = T.
Proof: Let R = T − S. We have
and . Summing the two we
get: for . Taking y = Rx gives for all or R =
0.

3 Exercise Show that the above lemma is false if the underlying field is . (Hint: it suffices to
consider a finite-dimensional Hilbert space.)

For , let ζ(T) be the the set of all complex numbers λ such that T − λI is not
invertible. (Here, I is the identity operator on .)

3 Theorem Let T be a densely defined operator on . Then T is positive (i.e., for

every ) if and only if T = T * and .
Partial proof: We have:
 31

for every

But, by hypothesis, the right-hand side is real. That T = T * follows from Lemma 5.something.
The proof of the theorem will be completed by the spectrum decomposition theorem in Chapter 5.

3 Theorem Let be a closed linear subspace of a Hilbert space . Then π is an orthogonal

projection onto if and only if π = π * = π2 and the range of π is .
Proof: The direct part is clear except for π = π * . But we have:

since π(x) and x − π(x) are orthogonal. Thus, π is positive and so self-adjoint then. For the
converse, we only have to verify for every x. But we have: π(x − π(x)) =
0 and .

3 Lemma (Bessel's inequality) If uk is an orthonormal sequence in a Hilbert space , then

for any .

Proof: If , then . Thus,

Letting completes the proof. .

2 Lemma A normed space is complete (in the sense of metric spaces) if and only

if implies exists.

Proof: If , then since

as n > m and ,
 32

exists by completeness. Conversely, suppose xj is a Cauchy sequence. Thus, for each j =

1,2,..., there exists an index kj such that for any .

Let . Then . Hence, by assumption we can get the

limit , and since

as ,

we conclude that xj has a subsequence converging to x; thus, it converges to x.

3 Theorem (Parseval) Let uk be a orthonormal sequence in a Hilbert space . Then the

following are equivalent:

 (i) is dense in .

 (ii) For each , .

 (iii) For each , .

 (iv) (the Parseval equality).

Proof: Let . If , then it has the form: for

some scalars αk. Since we can also

write: . Let . Bessel's inequality and that is

complete ensure that y exists. Since

for all , we have , proving (i) (ii). Now (ii) (iii)

follows since
 33

as

To get (iii) (iv), take x = y. To show (iv) (i), suppose that (i) is false. Then there exists
a with . Then

Thus, (iv) is false.

3 Theorem Let xk be an orthogonal sequence in a Hilbert space . Then

the series converges if and only if the series converges for every .
Proof: Since

and

by orthogonality, we obtain the direct part. For the converse, let .

Since

for each y

by hypothesis, E is bounded by Theorem 3.something. Hence, and

converges by completeness.

The theorem is meant to give an example. An analogous issue in the Banach space will be
discussed in the next chapter.
 34

Chapter 4: Geometry of Banach spaces

In the previous chapter we studied a Banach space having a special geometric property: that is, a
Hilbert space. This chapter continues this line of the study. The main topics of the chapter are (i)
the notion of reflexibility of Banach spaces (ii) weak-* compactness, (iii) the study of a basis in
Banach spaces and (iv) complemented (and uncomplemented) subspaces of Banach spaces. It
turns out those are a geometric property,

Let be a normed space. Since X * is a Banach space, there is a canonical

injection given by:

π(x)f = f(x) for and .

One of the most important question in the study of normed spaces is when this π is surjective; if
this is the case, is said to be "reflexive". For one thing, since is a Banach space even
when is not a Banach, a normed space that is reflexive is always a Banach space.
(Since π(X) separates points in X * , the weak-* topology is Hausdorff by Theorem 1.something.)

Before studying this problem, we introduce some topologies. The weak-* topology for is the
weakest among topologies for which every element of is continuous. In other words, the
weak-* topology is precisely the topology that makes the dual of . (Recall that it
becomes easier for a function to be continuous when there are more open sets in the domain of
the function.)

The weak topology for is the weakest of topologies for which every element of is
continuous. (As before, the weak topology is Hausdorff.)

4 Theorem (Alaoglu) The unit ball of is weak-* compact.

Proof: For every f, is an element of . With this identification, we have: .
The inclusion in topology also holds; i.e., is a topological subspace of . The unit ball
of is a subset of the set

Since E, a product of disks, is weak-* compact by w:Tychonoff's theorem (see Chapter 1), it
suffices to show that the closed unit ball is weak-* closed. (TODO: complete the proof.)

4. Theorem Let be a TVS whose dual separates points in . Then the weak-* topology
on is metrizable if and only if has a at most countable Hamel basis.

Obviously, all weakly closed sets and weak-* closed sets are closed (in their respective spaces.)
The converse in general does not hold. On the other hand,
 35

4. Lemma Every closed convex subset is weakly closed.

Proof: Let x be in the weak closure of E. Suppose, if possible, that . By (the geometric
form) of the Hanh-Banach theorem, we can then find and real number c such that:

for every .

Set . What we have now is: where V is weakly open

(by definition). This is contradiction.

4. Corollary The closed unit ball of (resp. ) is weakly closed (resp. weak-* closed).

4 Exercise Let B be the unit ball of . Prove π(B) is weak-* dense in the closed unit ball
of . (Hint: similar to the proof of Lemma 4.something.)

4 Theorem A set E is weak-* sequentially closed if and only if the intersection of E and the
(closed?) ball of arbitrary radius is weak-* sequentially closed.
Proof: (TODO: write a proof using PUB.)

4 Theorem (Kakutani) Let be a Banach space. The following are equivalent:

 (i) is reflexive.
 (ii) The closed unit ball of is weakly compact.
 (iii) Every bounded set admits a weakly convergent subsequence. (thus, the unit ball in
(ii) is actually weakly sequentially compact.)

Proof: (i) (ii) is immediate. For (iii) (i), we shall prove: if is not reflexive, then we can
find a normalized sequence that falsifies (iii). For that, see [1], which shows how to do this.
Finally, for (ii) (iii), it suffices to prove:

4 Lemma Let be a Banach space, a sequence and F be the weak closure of xj.
If F is weakly compact, then F is weakly sequentially compact.
Proof: By replacing X with the closure of the linear span of X, we may assume that admits a
dense countable subset E. Then for , u(x) = v(x) for every implies u = v by
continuity. This is to say, a set of functions of the form with separates
*
points in X, a fortiori, B, the closed unit ball of X . The weak-* topology for B is therefore
metrizable by Theorem 1.something. Since a compact metric space is second countable; thus,
separable, B admits a countable (weak-*) dense subset B'. It follows that B' separates points in X.
In fact, for any with , by the Hahn-Banach theorem, we can find
such that . By denseness, there is that is near x in the sense: | g(x)
− f(x) | < 2 − 1, and we have:

Again by theorem 1.something, F is now metrizable.

 36

Remark: Lemma 4.something is a special case of w:Eberlein–Šmulian theorem, which states that
every subset of a Banach space is weakly compact if and only if it is weakly sequentially
compact. (See [2], [3])

In particular, since every Hilbert space is reflexive, either (ii) or (iii) in the theorem always holds
for all Hilbert spaces. But for (iii) we could have used alternatively:

4 Exercise Give a direct proof that (iii) of the theorem holds for a separable Hilbert space. (Hint:
use an orthonormal basis to directly construct a subsequence.)

4 Corollary A Banach space is reflexive if and only if is reflexive.'

4 Theorem Let be a Banach space with a w:Schauder basis ej. Prove that is reflexive if
and only if ej satisfies:

 (i) converges in .

 (ii) For any , .

Proof: ( ): Set . By reflexivity, xn then admits a weakly convergent

subsequence with limit x. By hypothesis, for any , we can

write: with . Thus,

, and so .

This proves (i). For (ii), set

Then (ii) means that for any . Since En is a weakly closed subset of the
closed unit ball of , which is weakly compact by reflexivity, En is weakly compact. Hence,

there is a sequence xn such that: for any . It follows:

 37

since . (TODO: but does exist?) This proves (ii).

( ): Let xn be a bounded sequence. For each j, the set is bounded; thus,
admits a convergent sequence. By Cantor's diagonal argument, we can therefore find a
subsequence of xn such that converges for every j. Set .

Let and . By
(ii), . Now,

for .

Since sm is bounded, for every f and so .

By (i), therefore exists. Let ε > 0 be given. Then there exists m such that sm < ε / 2.
Also, there exists N such that:

for every .

Hence,

4 Exercise Prove that every infinite-dimensional Banach space contains a closed subspace with a
Schauder basis. (Hint: construct a basis by induction.)

4 Theorem A Hilbert space is separable if and only if it has an (countable) orthonormal basis.

It is plain that a Banach space is separable if it has a Schauder basis. Unfortunately, the converse
is false.

4 Theorem (James) A Banach space is reflexive if and only if every element of attains its
maximum on the closed unit ball of .
 38

4 Corollary (Krein-Smulian) Let be a Banach space and a weakly compact

subset of . then is weakly compact.
Proof: [4]

A Banach space is said to be uniformly convex if

and

Clearly, Hilbert spaces are uniformly convex. The point of this notion is the next result.

4 Theorem Every uniformly convex space is reflexive.

Proof: Suppose, if possible, that is uniformly convex but is not reflexive.

4 Theorem Every finite dimensional Banach space is reflexive.

Proof: (TODO)

4 Theorem Let be Banach spaces. If has a w:Schauder basis, then the space of
finite-rank operators on is (operator-norm) dense in the space of compact operators on .

5 Theorem Lp spaces are uniformly convex (thus, reflexive).

Proof: (TODO)

5 Theorem (M. Riesz extension theorem) (see w:M. Riesz extension theorem)

References
 SEPARABLE BANACH SPACE THEORY NEEDS STRONG SET EXISTENCE
AXIOMS
 Functional Analysis and Infinite-dimensional Geometry
 39

Chapter 5: Topological vector spaces

A vector space endowed by a topology that makes translations (i.e., x + y) and dilations (i.e., αx)
continuous is called a topological vector space or TVS for short.

A subset E of a TVS is said to be:

 bounded if for every neighborhood V of 0 there exist s > 0 such that for
every t > s
 balanced if for every scalar λ with
 convex if for any and any with λ1x + λ2y =
1.

1 Corollary (s + t)E = sE + tE for any s,t > 0 if and only if E is convex.

Proof: Supposing s + t = 1 we obtain for all . Conversely, if E is
convex,

, or for any .

Since holds in general, the proof is complete.

Define f(λ,x) = λx for scalars λ, vectors x. If E is a balanced set, for any , by continuity,

Hence, the closure of a balanced set is again balanced. In the similar manner, if E is convex,
for s,t > 0

meaning the closure of a convex set is again convex. Here the first equality holds since
is injective if . Moreover, the interior of E, denoted by , is also convex. Indeed,
for with λ1 + λ2 = 1

and since the left-hand side is open it is contained in . Finally, a subspace of a TVS is a
subset that is simultaneously a linear subspace and a topological subspace. Let be a subspace
of a TVS. Then is a topological subspace, and it is stable under scalar multiplication, as
shown by the argument similar to the above. Let g(x,y) = x + y. If is a subspace of a TVS, by
continuity and linearity,

.
 40

Hence, is a linear subspace. We conclude that the closure of a subspace is a subspace.

Let V be a neighborhood of 0. By continuity there exists a δ > 0 and a neighborhood W of 0 such

that:

It follows that the set {λ; | λ | < δ}W is a union of open sets, contained in V and is balanced. In
other words, every TVS admits a local base consisting of balanced sets.

1 Theorem Let be a TVS, and . The following are equivalent.

 (i) E is bounded.
 (ii) Every countable subset of E is bounded.
 (iii) for every balanced neighborhood V of 0 there exists a t > 0 such that .

Proof: That (i) implies (ii) is clear. If (iii) is false, there exists a balanced neighborhood V such
that for every n = 1,2,.... That is, there is a unbounded sequence x1,x2,... in E. Finally,
to show that (iii) implies (i), let U be a neighborhood of 0, and V be a balanced open set
with . Choose t so that , using the hypothesis. Then for any s > t, we
have:

1 Corollary Every Cauchy sequence and every compact set in a TVS are bounded.
Proof: If the set is not bounded, it contains a sequence that is not Cauchy and does not have a
convergent subsequence.

1 Lemma Let f be a linear operator between TVSs. If f(V) is bounded for some
neighborhood V of 0, then f is continuous.

6 Theorem Let f be a linear functional on a TVS .

 (i) f has either closed or dense kernel.

 (ii) f is continuous if and only if is closed.

Proof: To show (i), suppose the kernel of f is not closed. That means: there is a y which is in the

closure of but . For any , is in the kernel of f. This is

to say, every element of is a linear combination of y and some other element in .
Thus, is dense. (ii) If f is continuous, is closed. Conversely,
suppose is closed. Since f is continuous when f is identically zero, suppose there is a
point y with f(y) = 1. Then there is a balanced neighborhood V of 0 such
 41

that . It then follows that . Indeed, suppose .

Then

if , which is a contradiction.

The continuity of f now follows from the lemma.

6 Theorem Let be a TVS and its subspace. Suppose:

is dense in implies z = 0 in .

(Note this is the conclusion of Corollary 2.something) Then every continuous linear function f on
a subspace of extends to an element of .
Proof: We essentially repeat the proof of Theorem 3.8. So, let be the kernel of f, which is
closed, and we may assume . Thus, by hypothesis, we can find such that:g =
0 in M, but for some point p outside M. By Lemma 1.6, g = λf for some scalarλ.

Since both f and g do not vanish at p, .

Lemma Let V0,V1,... be a sequence of subsets of a a linear space containing 0 such

that for every . If
and , then .
Proof: We shall prove the lemma by induction over k. The basic case k = 1 holds
since for every n. Thus, assume that the lemma has been proven until k − 1.
First, suppose n1,...,nk are not all distinct. By permutation, we may then assume that n1 = n2. It
then follows:

and .

The inductive hypothesis now gives: . Next, suppose n1,...,nk are all distinct. Again by
permutation, we may assume that n1 < n2< ...nk. Since no carry-over occurs then and m < n1, m +
1 < n2 and so:

Hence, by inductive hypothesis, .

1 Theorem Let be a TVS.

 (i) If is Hausdorff and has a countable local base, is metrizable with the
metric d such that

d(x,y) = d(x + z,y + z) and for every

 42

 (ii) For every neighborhood of 0, there is a continuous function g such that

g(0) = 0, g = 1 on Vc and for any x,y.

Proof: To show (ii), let V0,V1,... be a sequence of neighborhoods of 0 satisfying the condition in
the lemma and V = V0. Define g =
1on Vc and for every .
To show the triangular inequality, we may assume that g(x) andg(y) are both < 1, and thus
suppose and . Then

Thus, . Taking inf over all

such n1,...,nk we obtain:

and do the same for the rest we conclude . This proves (ii)
since g is continuous at 0 and it is then continuous everywhere by the triangular inequality. Now,
to show (i), choose a sequence of balanced sets V0,V1,... that is a local base, satisfies the condition
in the lemma and is such that . As above,
define for each . For
the same reason as before, the triangular inequality holds. Clearly, f(0) = 0. If ,
then there are n1,...,nk such that and .
Thus, by the lemma. In particular, if for "every" m, then x =
0 since is Hausdorff. Since Vn are balanced, if ,

for every n1,...,nk with .

That means , and in particular .

Defining d(x,y) = f(x − y) will complete the proof of (i). In fact, the properties of f we have
collected shows the function d is a metric with the desired properties. The lemma then shows that
given any m, for some . That is, the sets {x;f(x) < δ} over δ >
0 forms a local base for the original topology.

The second property of d in (i) implies that open ball about the origin in terms of this d is
balanced, and when has a countable local base consisting of convex sets it can be
strengthened to: , which implies open balls about the origin are convex.
Indeed, if , and if and with λ1 + λ2, then

since the sum of convex sets is again convex. This is to say,

 43

and by iteration and continuity it can be shown that for every .

Corollary For every neighborhood V of some point x, there is a neighborhood

of x with
Proof: Since we may assume that x = 0, take W = {x;g(x) < 2 − 1}.

Corollary If every finite set of a TVS is closed, is Hausdorff.

Proof: Let x,y be given. By the preceding corollary we find an open set
containing x.

A TVS with a local base consisting of convex sets is said to be locally convex. Since in this book
we will never study non-Hausdorff locally convex spaces, we shall assume tacitly that every
finite subset of every locally convex is closed, hence Hausdorff in view of Theorem something.

Lemma Let be locally convex. The convex hull of a bounded set is bounded.

Given a sequence pn of semi-norms, define:

d then becomes a metric. In fact,

Since for any
seminorm p, .

References
 lp with 0 < p < 1 is not locally convex
 44

Chapter 6: C*-algebras
A Banach space over is called a Banach algebra if it is an algebra and satisfies

We shall assume that every Banach algebra has the unit 1 unless stated otherwise.

Since as , the
map

is continuous.

For , let ζ(x) be the the set of all complex numbers λ such that x − λ1 is not invertible.

5 Theorem For every , σ(x) is nonempty and closed and

Moreover,

(r(x) is called the spectral radius of x)

Proof: Let be the group of units. Define by f(λ) = λ1 − x. (Throughout
the proof x is fixed.) If , then, by definition, or .
Similarly, we have: . Thus, . Since f is clearly
continuous, is open and so ζ(x) is closed. Suppose that for . By
the geometric series (which is valid by Theorem 2.something), we have:

Thus, is invertible, which is to say, s1 − x is invertible. Hence, . This

complete the proof of the first assertion and gives:

Since ζ(x) is compact, there is a such that r(x) = a. Since (use

induction to see this),
 45

Next, we claim that the sequence is bounded for | s | > r(x). In view of the uniform

boundedness principle, it suffices to show that is bounded for every . But

since

this is in fact the case. Hence, there is a constant c such that for every n. It
follows:

Taking inf over | s | > r(x) completes the proof of the spectral radius formula. Finally, suppose, on
the contrary, that ζ(x) is empty. Then for every , the map

is analytic in . Since , by Liouville's theorem, we must

−1 −1
have: g((x − s) ) = 0. Hence, (x − s) = 0 for every , a contradiction.

5 Corollary (Gelfand-Mazur theorem) If every nonzero element of is invertible, then is

isomorphic to .
Proof: Let be a nonzero element. Since ζ(x) is non-empty, we can then find
such that λ1 − x is not invertible. But, by hypothesis, λ1 − x is invertible, unless λ1 = x.

Let be a maximal ideal of a Banach algebra. (Such exists by the usual argument involving
Zorn's Lemma in abstract algebra). Since the complement of consists of invertible
elements, is closed. In particular, is a Banach algebra with the usual quotient norm. By
the above corollary, we thus have the isomorphism:

Much more is true, actually. Let be the set of all nonzero

homeomorphism . (The members of are calledcharacters.)

5 Theorem is bijective to the set of all maximal ideals of .

5 Lemma Let . Then x is invertible if and only if for every

 46

5 Theorem

An involution is an anti-linear map such that x * * = x. Prototypical

examples are the complex conjugation of functions and the operation of taking the adjoint of a
linear operator. These examples explain why we require an involution to be anti-linear.

Now, the interest of study in this chapter. A Banach algebra with an involution is called a C*-
algebra if it satisfies

(C*-identity)

From the C*-identity follows

for and the same for x * in place of x. In particular, (if 1 exists).

Furthermore, the C * -identity is equivalent to the condition: , for this and

implies and so .

For each , let C * (x) be the linear span of . In other

* *
words, C (x) is the smallest C*-algebra that containsx. The crucial fact is that C (x) is
commutative. Moreover,

Theorem Let be normal. Then

A state on C * -algebra is a positive linear functional f such that (or

equivalently f(1) = 1). Since S is convex and closed, S is weak-* closed. (This is Theorem
4.something.) Since S is contained in the unit ball of the dual of , S is weak-* compact.

5 Theorem Every C^*-algebra is *-isomorphic to C0(X) where X is the spectrum of .

5 Theorem If C0(X) is isomorphic to C0(Y), then it follows that X and Y are homeomorphic.

3 Lemma Let T be a continuous linear operator on a Hilbert space . Then TT * = T * T if and

only if for all .

Continuous linear operators with the above equivalent conditions are said to be normal. For
example, an orthogonal projection is normal. See w:normal operator for additional examples and
the proof of the above lemma.

3 Lemma Let N be a normal operator. If α and β are distinct eigenvalues of N, then the
respective eigenspaces of α and β are orthogonal to each other.
 47

Proof: Let I be the identity operator, and x,y be arbitrary eigenvectors for α,β, respectively. Since
the adjoint of αI is , we have:

That is, , and we thus have:

If is nonzero, we must have α = β.

5 Exercise Let be a Hilbert space with orthogonal basis e1,e2,..., and xn be a sequence
with . Prove that there is a subsequence of xn that converges weakly to some x and
that . (Hint: Since is bounded, by Cantor's diagonal argument, we can find
a sequence such that is convergent for every k.)

5 Theorem (Von Neumann double commutant theorem) M is equal to its double commutant if
and only if it is closed in either weak-operator topology or strong-operator topology.
Proof: (see w:Von Neumann bicommutant theorem)

References

 Lecture Notes on C ∗-Algebras and K-Theory

 A Good Spectral Theorem
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