Exact mobility edges for 1D quasiperiodic models
Abstract.
Mobility edges (ME), i.e. critical energies which separate absolutely continuous spectrum and purely point spectrum, is an important issue in quantum physics. So far there are two experimentally feasible 1D quasiperiodic models that have been discovered to have exact mobility edge. However, all the theoretical studies have remained at the numerical level. In this paper, we rigorously prove the existence and give the precise location of the MEs for these models.
1. Introduction
In his 1958 seminal article [3], Anderson argued that in one-dimensional or two-dimensional disordered systems, all states are localized at any disorder strengths. However, in a three-dimensional disordered system, a transition occurs at a finite disorder strength, i.e., there exists a critical energy separating the localized states and the extended states. This kind of phenomenon became known as the Anderson metal–insulator transition, and the critical energy was later termed the mobility edge (ME) by Mott. The idea of mobility edges would develop into one of the most studied concepts of condensed-matter physics. It has been the progenitor of many important problems in physics [35], and was one of the main reasons why Anderson and Mott shared the 1977 Nobel Prize in Physics.
The standard mathematical interpretation of Anderson transition is the following: the -dimensional () random Schrödinger operator
where is an independent identically distributed random variable with distribution uniformly in , has Anderson localization (pure point spectrum with exponentially decaying eigenfunctions) in the regime , and absolutely continuous spectrum in the interval for some , if is small.
Over 40 years after Anderson-Mott’s Nobel Prize and 60 years after Anderson first proposed the theory, great progress has been made in understanding the corresponding physics, however experimental demonstration was notoriously difficult due to the problems in reliably controlling disorder in solid-state systems [19, 35]. On the other hand, the mathematical understanding of the whole picture is still unsatisfactory and one-sided: we know that if the coupling constant is large enough, the corresponding Schrödinger operator has Anderson localization [1, 37, 46]. But up to now, there are no rigorous results on the existence of the absolutely continuous spectrum for any random operators, not to mention the existence of ME. Indeed, this is such an important question that Simon [74] gave it as Problem 1 of a list of Schrödinger operator problems for the twenty-first century. One can consult [40] and the references therein for recent study on this subject.
The breakthrough came in the manipulation of ultra-cold atoms, which offer a completely new, well-controlled tool for directly observing ME [18, 71]. Consequently there is growing interest in exploring ME in 1D quasi-periodic models, especially exact ME to understand the extended-localized transition and to advance in-depth study of fundamental ME physics, e.g. to possibly eliminate the theoretical dispute on whether many-body MEs exist [72, 79]. However, finding experimentally realistic 1D quasi-periodic models with exact ME is difficult, and so far there are only two models in physics literature [41, 78]. In this paper, we rigorously prove ME for these two models.
Before introducing the models and our main results, let us first revisit the spectral results of the almost Mathieu operator (resp. Aubry-Andre model in physics literature):
where is the phase, is the frequency, and is the coupling constant. The almost Mathieu operator (AMO) is the central quasi-periodic model, not only because of its importance in physics [16], but also as a fascinating mathematical object. It was first introduced by Peierls [70], as a model for an electron on a 2D lattice, acted on by a homogeneous magnetic field [47], and it plays a central role in the Thouless et al. theory of the integer quantum Hall effect [76]. We recall that is Diophantine (denoted by ), if there exist , such that
We also denote . It is well known that if , then is the transition line from absolutely continuous spectrum to Anderson localization [7, 10, 53]. However, one should note that if is not Diophantine, then there exists a second transition line from singular continuous spectrum to Anderson localization [12, 14, 58], which is neglected in the physics references. In any case, one has found that ME does not exist for AMO; nevertheless, based on a vast body of numerical work (one may consult [19, 41, 50, 73] and the references therein), the physical intuition is that if the symmetry of the almost Mathieu operator is broken in some controlled way, then the transition point modifies into a ME. Different from random models, ME of quasiperiodic models could be any point in an interval due the the existence of gaps [49].
1.1. ME for the Generalized Aubry-Andre model
Our first result concerns the Generalized Aubry-Andre (GAA) model:
(1) |
where . If , it is exactly AMO, and in the limiting case , it is the unbounded operator with potential . This model was first introduced by Ganeshan-Pixley-Das Sarma [41], where they not only give numerical evidence, but also introduce a generalized duality symmetry and show that
(2) |
is the ME. However, one should note that the generalized duality is mathematically rigorous. In this paper, without invoking generalized duality, we rigorously show that (2) really defines the exact ME.
It is well known that for any almost-periodic Schrödinger operator with potential , its spectrum is a perfect and compact set independent of the phase . Denote
then our precise result can be formulated as follows:
Theorem 1.1.
For any , , , we have the following:
-
(1)
If , then has purely absolutely continuous spectrum for every
-
(2)
If , then has Anderson localization for almost every
-
(3)
If , then is the ME. More precisely,
-
•
has purely absolutely continuous spectrum for every in the set .
-
•
has Anderson localization for almost every in the set .
-
•
Remark 1.2.
One can consult Corollary 3.11 for the case .

Figure 1 gives a numerical picture of ME of the GAA model, where orange color corresponds to extended states, and blue color corresponds to localized states. The physical mechanism of ME was explained by Anderson-Mott; we highlight that using synthetic lattices of laser-coupled atomic momentum modes [2], the GAA model can be experimentally realized to host the exact ME defined by (2). Theorem 1.1 gives the rigious proof of the existence of ME 222Theorem 1.1 covers partial result of our preprint [77], which is not intended for publication., and now the picture of ME from physics to mathematics is complete.
1.2. ME for quasi-periodic Mosaic model
Recently, the following quasi-periodic mosaic model was proposed in [78]
(3) |
where
This model certainly defines a family of almost-periodic Schrödinger operators. If , then one can reduce it to AMO. As pointed out in [78], the model is experimentally realizable using an optical Raman lattice, thus a true physical model. We will show that, different from AMO, the mosaic model (3) with do have MEs and we also give exact and complete description of all mobility edges for .
Theorem 1.3.
Let , . If , then we have the following:
-
(1)
If , then has purely absolutely continuous spectrum for every
-
(2)
If , then are MEs. More precisely,
-
•
has purely absolutely continuous spectrum in for every .
-
•
has Anderson localization in for almost every .
-
•

Figure 2 gives a numerical picture of ME of the quasi-periodic mosaic model. As is clear from the picture, the localization starts from the edges of the spectrum, and as the coupling constant is increased, then we have mobility edges, which move towards the center of the spectrum. This kind of behavior is similar to that of 3D disordered systems [66]. However, our results really demonstrate a new phenomenon, which does not even appear in previous physics literature. That is, no matter how large the coupling constant is, ME always occur. By contrast, in the random models or the quasi-periodic models (with smooth potential), all the states are believed to be localized when is large enough [1, 23, 24, 25, 26, 37, 46].
Also from Figure 2(a), if , it is clear (3) has two mobility edges. In general, one can anticipate arbitrary many even numbers of ME (Figure 2(b) for ). In case , and denote
then the complete picture is the following:
Theorem 1.4.
Let , . If , then we have the following:
-
(1)
If , then has purely absolutely continuous spectrum for every
-
(2)
If , then are MEs. More precisely,
-
•
has purely absolutely continuous spectrum in for every .
-
•
has Anderson localization in for almost every .
-
•
-
(3)
If , then , are MEs. More precisely,
-
•
has purely absolutely continuous spectrum in and for every .
-
•
has Anderson localization in and for almost every .
-
•
Remark 1.5.
One can consult the result for general in Theorem 6.1.
1.3. Other models
The third model concerns the tight-binding model
(4) |
with parameter . This is a quasi-periodic long-range operator acting on . This quasi-periodic model was introduced by Biddle-Das Sarma in their groundbreaking work [19], where they predicted
is the exact energy dependent mobility edge, and this gives the first model which has exact ME in the physics literature. In this paper, we will actually show that the Aubry dual of (4) reduces to the GAA model, and as a consequence, we will rigorously show the following:
Corollary 1.6.
For any , , the ME of takes place at
Remark 1.7.
One can consult the precise result at Corollary 3.13.
The final model is the Schrödinger operator with “Peaky” potential
(5) |
which was first introduced by Bjerklöv and Krikorian [21]. Theorem B of [21] shows that for some sufficiently large and , there is a set of positive Lebesgue measure such that for any the operator has both a.c. and p.p. components. In this paper, we will reveal exactly when this operator has ME and where is the ME.

Corollary 1.8.
Let and . Then the following holds true:
-
(1)
If , then has purely absolutely continuous for every
-
(2)
If , then has Anderson localization for almost every
-
(3)
If , then is the ME. More precisely,
-
•
has purely absolutely continuous spectrum in for every
-
•
has Anderson localization in for almost every
-
•
Remark 1.9.
We point out an interesting phenomenon, as is also clearly shown in Fig 3, that the ME of (5) doesn’t depend on the coupling constant . So one sees that gives the location of ME while determines whether ME will appear.
1.4. Coexistence of spectrums.
The coexistence of a.c. and p.p. spectrum is an active research subject which is related to and obviously weaker than exact ME. Bjerklöv [20] proved that if the potential is
where is assumed to be a non-constant real-analytic function with zero mean, then the Schrödinger operator has coexistence of regions of the spectrum with positive Lyapunov exponents and zero Lyapunov exponents, if is large enough. Elaborating on [20], Zhang [80] gives examples of the coexistence of a.c. and p.p. spectrum and coexistence of a.c. and s.c. spectrum. Bjerlöv and Krikorian [21] constructed a class of “peaky” potentials, such that the operator has coexistence of a.c. and p.p. spectrum. Avila [5] constructed examples of potentials which are real analytic perturbations of critical AMO, and for which the spectrum of the corresponding Schrödinger operator has both a.c. and p.p. components. For previous coexistence results on quasi-periodic potentials with two frequencies and almost periodic potential, one can consult [22, 36].
An effective method for proving coexistence of spectrum is studying the Lyapunov exponent of the Schrödinger cocycles333One can consult Section 2.2 for its definition associated to Schrödinger operators. This is a family of skew-products
where
More precisely, coexistence of zero and positive Lyapunov exponents in the spectrum roughly implies the coexistence of a.c. and p.p. spectrum, since by the well-known Kotani’s theory [64], is the essential support of the energies which have zero Lyapunov exponent, and it is a commonly used fact in physics literature that positive Lyapunov exponent implies localization.
1.5. Main ingredients of the proof
We stress that the above mentioned results [20, 21, 80] only give coexistence results, i.e. partial information on the spectrum, while ME requires complete information on the spectrum. For this purpose, we need to use the remarkable global theory of one-frequency analytic cocycles by Avila [5], where he establishes and gives classification of all cocycles. To be precise, cocycles that are not uniformly hyperbolic are classified in three regimes:
-
(1)
Subcritical, if there exists such that through some strip ,
-
(2)
Supercritical, or nonuniformly hyperbolic, if ,
-
(3)
Critical otherwise.
In the subcritical regime, the energy is related
with extended states, while in the supercritical regime, the energy is related with localized states. To study ME, there are three key steps. The first is to find out the exact formula of the Lyapunov exponent in the spectrum, which allows one to locate the zero Lyapunov exponent regime and positive Lyapunov exponent regime. Then one needs to prove a.c. spectrum in the subcritical regime, and prove localization in the supercritical regime.
Calculation of Lyapunov exponents. As we said, to obtain exact ME, the first step is to calculate the Lyapunov exponent. Based on the continuity of the Lyapunov exponent [28] and the Lyapunov exponent in the rational frequencies [65], Bourgain and Jitomirskaya [28] showed that if the energy belongs to the spectrum, then the Lyapunov exponent of AMO satisfies
(6) |
However, this method can hardly be generalized. On the other hand, Avila’s global theory shows that, as a function of the Lyapunov exponent is a convex, piecewise linear function, with integer slopes. Based on this fact, Avila [5] gives another proof of (6). In this paper, we will further generalize
this argument, and calculate the Lyapunov exponent of the GAA model (Lemma 3.9) and quasi-periodic mosaic model (Lemma 3.1), and more importantly locate the subcritical and supercritical regime. Note that this method strongly depends on the fact that the acceleration of the Lyapunov exponent444Consult section 2.5 for its definition (the slope of the Lyapunov exponent) is not larger than , and this also explains why it is so difficult to find models with exact ME.
Absolutely continuous spectrum. Based on the KAM method, Dinaburg-Sinai [32] proved that if , then in the perturbative small regime . Here perturbative means that depends on through the Diophantine constants . Under the same assumption, Eliasson [33] showed that in fact the spectrum is purely absolutely continuous for any . Specifically in the one-frequency case, one can even anticipate non-perturbative results. Making use of the specificity of one frequency, some new elaborate techniques have been developed to prove some sharp results. If , based on non-perturbative Anderson localization results, Avila-Jitomirskaya [10] proved that there exists which does not depend on , such that when . Such a result was generalized by Avila to the weak Diophantine case [7]. Recently, Avila-Fayad-Krikorian [8] and Hou-You [51] independently developed non-standard KAM techniques, and showed that for and for any irrational . The breakthrough goes back to Avila, who established the deep relations between the existence of a.c. spectrum and the vanishing of the Lyapunov exponent. To be precise, his Almost Reducibility Conjecture (ARC) says that any subcritical cocycle is almost reducible, which furthermore supports a.c. spectrum. Our proof relies on the solution of ARC, as announced in [5], to appear in [4, 6]. ARC has many important dynamical and spectral consequences [4, 6, 11, 13, 14, 42, 67], indeed, it was already stated as Almost Reducibility Theorem (ART) in [11].
In our case, for the GAA model, one only needs to locate the subcritical regime, then one applies ARC directly to prove that the corresponding regime has pure a.c. spectrum. However, for the quasi-periodic mosaic model, the operator itself cannot induce a quasi-periodic Schrödinger cocycle. The observation here is that the iterates of the cocycle can be seen as a one-frequency analytic cocycle, thus one can locate the subcritical regime by Avila’s global theory, however ARC cannot apply directly, since an iterate of the cocycle
does not define an operator any more.
Here, we will develop a scheme to establish the link between absolutely continuous spectrum of almost periodic operators and almost reducibility of its iterated cocycle; the ideas first goes back to Avila [7], while the estimates are KAM based [29, 67]. One can found more discussions after Theorem 4.1 the difficulty and necessity for us to develop a general scheme. Indeed, such a scheme has already been used to study the purely a.c. spectrum of CMV matrices with small quasi-periodic Verblunsky coefficients [68].
Anderson localization. The above mentioned coexistence papers [5, 21, 80] all depend crucially on Bourgain-Goldstein’s result [25], where they prove that in the supercritical regime, for any fixed phase, has AL for Diophantine frequency, i.e they have to remove a Hausdorff zero measure set of Diophantine frequencies. For the multi-frequency and multi-dimensional case, one can consult [23, 24, 26, 59, 52, 63] and the references therein. However, in physics applications, there is more interest in the case where is a priori fixed as a Diophantine frequency. For localization results with fixed Diophantine frequency, if the potential is a cosine-like function, Fröhlich-Spencer-Wittwer [38] and Sinai [75] independently proved that for a.e. phase, has AL for sufficiently large coupling constant. If the potential is analytic, Eliasson [34] proved that has pure point spectrum for a.e. and large enough
One can see that although these three localization results [34, 38, 75] hold for fixed Diophantine frequency, they are all perturbative, i.e. the coupling constant is assumed to be large enough. It is still open whether for non-constant analytic potentials and fixed Diophantine frequency, the operator has Anderson localization for a.e. in the supercritical regime. To this stage, we should mention Jitomirskaya’s seminar paper [53], who not only proves Anderson localization result for the almost Mathieu operator, but also developed a non-perturbative localization approach which initiated other non-perturbative localization results (one may consult [10, 23, 24, 27, 25, 57, 58, 59, 60] and the reference therein). In this paper, we will further develop Jitomirskaya’s argument, and show that AL still holds for another family of analytic quasi-periodic Schrödinger operator in the whole supercritical regime.
2. Preliminaries
For a bounded analytic function defined on a strip , let and denote by the set of all these -valued functions ( will usually denote , , ). When , we also set .
2.1. Continued Fraction Expansion.
Let be irrational, and . Inductively, for , we define
Let , , , . We define inductively , . Then is the sequence of denominators of the best rational approximations of , since we have , , and
Lemma 2.1.
2.2. Cocycle, Lyapunov exponent
Let be a compact metric space, be ergodic. A cocycle is a linear skew product:
For , is defined by . Thus ,
and . The Lyapunov exponent is defined as
In this paper, we will consider the following two useful cocycles.
-
•
and , where , then is a quasi-periodic cocycle.
-
•
and , where , , then defines an almost-periodic cocycle.
These dynamical system is uniquely ergodic if is irrational (Theorem 9.1 of [69]).
We say an cocycle is uniformly hyperbolic if, for every , there exists a continuous splitting such that for every ,
for some constans . Clearly, it holds that and for every , and if is uniformly hyperbolic, then .
2.3. Fibre rotation number.
Let be the set of unit vectors of , consider a projective cocycle on :
If is homotopic to the identity, then there exists a lift of to such that where is a continuous lift such that
-
•
-
•
for every is a strictly increasing homeomorphism;
-
•
if is the projection map , then .
If is uniquely ergodic, then the number
is independent of and the lift of , and is called the fibered rotation number of , see [62, 48] for details.
If and , i.e. when we are dealing with quasi-periodic cocycles, we will simply denote its fiber rotation number as . The fibered rotation number is invariant under real conjugacies which are homotopic to the identity. In general, if the cocycles is conjugated to :
and has degree n (that is, it is homotopic to ), where
then we have
(7) |
If furthermore with , then we
2.4. Dynamical defined Schrödinger operators.
Let be a compact metric space, be ergodic, and is continuous. Then one can define the Schrödinger operator on :
It is well known that the spectrum of is a compact subset of , independent of if is minimal [30], we shall denote it by . The integrated density of states (IDS) of is defined as
where is the spectral measure of . Note any formal solution of can be rewritten as
where
and we call the Schrödinger cocycle. It is well-known that if and only if is uniformly hyperbolic [61].
In this paper, we are interested in the case that or , where is irrational, then the base dynamics is almost periodic (thus minimal and uniquely ergodic). For any fixed , the map is homotopic to the identity, hence the rotation number is well defined. Moreover, relates to the integrated density of states as follows:
By Thouless formula [15], we also have the following relation between the integrated density of states and the Lyapunov exponent:
To get the existence of absolutely continuous spectrum, we need the following well-known result from subordinacy theory:
Theorem 2.2.
[44] Let be the set of such that the Schrödinger cocycle is bounded. Then is absolutely continuous for all .
Moreover, one can relate the growth of the cocycles to the spectral measure directly:
Lemma 2.3.
[7] There exists universal constant , such that .
2.5. Global theory of one frequency quasiperiodic cocycle.
Let us make a short review of Avila’s global theory of one-frequency quasi-periodic cocycles [5]. Suppose that admits a holomorphic extension to . Then for , we define by , and define the the acceleration of as follows
The acceleration was first introduced by Avila for analytic -cocycles [5], and extended to analytic cocycles by Jitomirskaya-Marx [54]. It follows from the convexity and continuity of the Lyapunov exponent that the acceleration is an upper semicontinuous function in parameter . The key property of the acceleration is that it is quantized:
Theorem 2.4 (Quantization of acceleration[5, 54, 55]).
Suppose that with bound away from 0 on the strip , then in the strip. Morveover, if , then
If takes values in , then is an even function. By convexity, . And if , then is uniformly hyperbolic if and only if and . The cocycles in which are not uniformly hyperbolic are classified into three regimes: subcritical, critical, and supercritical. Especially, is said to be subcritical if ; the cocycle is said to be supercritical if ; otherwise is critical.
The heart of Avila’s global theory is his “Almost Reducibility Conjecture” (ARC), which says that subcritical implies almost reducibility. Recall that a cocycle is (analytically) reducible, if it can be conjugated to a constant cocycle; is (analytically) almost reducible if the closure of its analytic conjugates contains a constant. The full solution of ARC was recently given by Avila in [4, 6]:
If we restrict ourself to the quasi-periodic Schrödinger cocycle , which comes from the quasi-periodic Schrödinger operator
Then we classify the energy by the dynamical behavior of . We denote if and only if is subcritical, if and only if is critical, and if and only if is supercritical.
3. Explicit formulas of Lyapunov exponent in the spectrum
It is known that the ac spectrum locates at the place where the Lyapunov exponent is zero, while pp spectrum locates at the place where the Lyapunov exponent is positive. Thus, the key for ME is the exact formula of the Lyapunov exponent. For this purpose, we consider the cocycle with . For models considered in this paper, we can reduce the non-trival problem of computing to the problem of computing . The later is much easier. This approach was based on Avila’s global theory of one-frequency quasi-periodic cocycles [5].
3.1. Lyapunov exponent for the mosaic model.
Note that for the mosaic model (3), let (abusing the notation a bit, we still denote it by )
Then is defined on , consequently (3) induces an almost-periodic Schrödinger cocycle where . Although is not a quasi-periodic cocycle in the strict sense, its iterate
indeed defines an analytic quasi-periodic cocycle. By simple calculation,
where
and by continuity. It is easy to see that . The latter can be explicitly computed by Avila’s global theory, thus we have the following result:
Lemma 3.1.
Suppose that and . Then for ,
Moreover, if , then the cocycle is:
-
•
supercritical, if and only if ,
-
•
critical, if and only if ,
-
•
subcritical, if and only if .
Proof.
It suffices to prove that for any we have
First we rewrite the matrix as
then we complexify the phase
thus for sufficiently large
Let . Then It is obvious that
By the continuity of Lyapunov exponent [28, 56], we have
By Theorem 2.4, and
for sufficiently large . By real-symmetry, is either 0 or 1 for . This implies that
(8) |
As a consequence, we have
If , then and for sufficient small and positive , which implies that is uniformly hyperbolic by Theorem 6 of [5], and thus is uniformly hyperbolic. It contradicts with . Therefore
for Moreover, (8) implies that is supercritical if and only if . The other cases follow similarly. ∎
To locate the spectrum, we need the following observations:
Lemma 3.2.
For any , we have .
Proof.
Suppose that and , define as
Direct computation shows that . Then since is independence of the phase . ∎
Lemma 3.2 says that is symmetric with respect to , actually we will show that always belongs to (Lemma 3.3 and Lemma 3.4). Moreover, by direct calculation, we obtain that has roots (). Thus the set of satisfying is a union of at most open intervals such that , and each of these open intervals has at least one root of . Obviously, the distance between these is constant, thus if is sufficiently large. Next we will show the roots are always in the spectrum, indeed for any , the corresponding cocycles are always reducible:
Lemma 3.3.
For any , . Then there exists such that
In particular, one has
(9) |
Proof.
Note that and , direct computation shows that
where since . The equation
always has a solution since and is irrational. Let be its solution and denote , then one can easily check that
This implies that , and , then (9) follows directly. ∎
As a direct consequence, if is an even number, then , if is an odd number, then we have the following observation:
Lemma 3.4.
For any . If , then .
Proof.
If , and , by simple calculation,
which is just the almost Mathieu cocycle. Thus is equivalent to whether belongs to the spectrum of almost Mathieu operator:
then the result follows from [17] directly. ∎
Now we summarize the above results in the case and , which can be clarified very clearly:
Corollary 3.5.
Suppose that , , and . Then we have
Moreover, the following holds true:
-
(1)
If , then for any , is subcritical.
-
(2)
If , then we have the following:
-
•
, furthermore is subcritical.
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•
, furthermore is supercritical.
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•
Lemma 3.5 ensures for any Note if is small enough, then
which means Corollary 3.5 holds for small and there is no ME. It follows that ME appears only when is relatively large. However, is not easy to be verified since depends implicitly on . Next result will tell us, Corollary 3.5 holds at least for
Lemma 3.6.
If , then
Proof.
We prove . First by the spectral theorem, we have
One can select such that , such exists since is irrational and . On the other hand, suppose that , i.e. for any , we have . This immediately imply that
This is a contradiction. ∎
Remark 3.7.
This argument can be generalized to general almost without change. Consequently, combining Lemma 3.3, if is relatively large, then ME always exists.
In the case , recall that
then we have the following:
Corollary 3.8.
Suppose that , , and . Then we have
Moreover, the following holds true:
-
(1)
If , then for any , is subcritical.
-
(2)
If , then we have the following:
-
•
, furthermore is subcritical.
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•
, furthermore is supercritical.
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•
-
(3)
If , then we have the following:
-
•
and , furthermore is subcritical.
-
•
and , furthermore is supercritical.
-
•
3.2. Lyapunov exponent for the GAA model
Similar to the proof of Lemma 3.1, we can also calculate the Lyapunov exponent for the GAA model:
Lemma 3.9.
Suppose that , and . Then, for any , we have
(10) |
Moreover, we have the following:
-
•
, if and only if ,
-
•
, if and only if ,
-
•
, if and only if .
Proof.
We distinugish three cases: , and .
Case 2: If , the potential is bounded and analytic. Let , i.e.,
then admits a holomorphic extension to . Note that
Thus admits a holomorphic extension to the strip with .
By Jensen’s formula, we have
Therefore we have
(11) |
which implies that and have the same acceleration when , i.e.
(12) |
On the other hand, if we complexify the phase, and write
Let goes to infinity, then
By the continuity of Lyapunov exponent [28, 56], we have
where
By quantization of acceleration(Theorem 2.4),
which also implies that for sufficiently large .
By convexity, for every . just note , in general one cann’t conclude or for every . Nevertheless, since , again by Theorem 2.4, one has for any Thus if or , then by (12), and the convexity of , we have for and for . As a consequence, it holds that
where the case follows by real-symmetry. By (11) and the non-negativity of , if or , we have
(13) |
If , then for .
By Avila’s global theory [5], for any , the corresponding cocycle is either supercritical, critical, or subcritical, we thus only need to locate the energy which is supercritical or critical. Without losing generality, we assume , . By , , if and only if , which is equivalent to by simple calculation. Meanwhile, , if and only if , which is equivalent to . In our case and , we actually have since is impossible. In fact if then
which contradicts with the fact
Case 3: In the limiting case , the operator is unbounded. However, recall that is a bounded and analytic cocycle, thus is continuous in . Moreover,
applying Jensen’s formula yields
Since the above equation explicitly implies the continuity of in , the continuity of follows.
As a direct consequence of Lemma 3.9, we have
Corollary 3.10.
Suppose that , and . Then if , the following holds true:
-
(1)
If , then we have
-
(2)
If , then we have
(14) -
(3)
If , then we have
Proof.
We have similar results for .
Corollary 3.11.
Suppose that , and . Then if , the following holds true:
-
(1)
If , then we have
-
(2)
If , then we have
-
(3)
If , then we have
Proof.
We omit the details, since the proof is the same as Corollary 3.10. ∎
In general, since and depend on the potential implicitly, one does not exactly know when (or ) does happen, thus one does not exactly know when subcritical and supercritical energies coexist. However, we have the following:
Lemma 3.12.
Suppose that , and . Then the following holds true:
-
•
If , then we have
-
•
If , then we have
(15) (16) -
•
If , then we have
Proof.
For simplicity, we only consider the case and , the other cases can be dealt with similarly. First note we have a trivial bound
then the first statement and the third statement follows immediately from Corollary 3.10.
We are left to prove the second statement, and we only prove (15), since (16) can be proved similarly. First by the spectral theorem,
We argue by contradiction, assume that , then by Lemma 3.9, we have for every . Select such that , such exists since is irrational and , as a consequence,
This is a contradiction. ∎
3.3. Application for the long-range tight-binding model.
Now we consider the long-range tight-binding model (4). By Aubry duality, the dual model of (4) can be written as
where
Furthermore, by Aubry duality [45], we have
Then as a direct consequence of Lemma 3.9, one obtains:
Corollary 3.13.
Suppost that , and . Then we have
Moreover, we have the following:
-
•
if and only if ,
-
•
if and only if ,
-
•
if and only if .
Proof.
3.4. Application to the “Peaky” potential
Corollary 3.14.
Suppose that and . Then we have
Moreover, the following holds true:
-
(1)
If , then we have
-
(2)
If , then we have
(17) -
(3)
If , then we have
In particular, if , then (17) holds.
4. Pure absolutely continuous spectrum
For any , , and for any , we consider the almost-periodic Schrödinger operator
(18) |
where the potential takes the form
The case is the one-frequency quasi-periodic Schrödinger operator, while the case , including the quasi-periodic mosaic model, is almost periodic with frequency modulo , consequently (18) induces an almost-periodic Schrödinger cocycle , and associate with it, one can consider the quasi-periodic cocycle
In general, for this kind of potentials, we have the following:
Theorem 4.1.
If , , then for any , is purely absolutely continuous in the set
This result establish the link between absolutely continuous spectrum of almost periodic operators and almost reducibility of its iterated cocycle. If , then this is well-known result of Avila [6]. However, the real challenge is the case , and so far none of existence approaches can be applied to this situation. As a matter of fact, there are basically two existing approach in proving pure ac spectrum based on almost reducibility, which are developed by Eliasson [33] and Avila [7] separately. Eliasson’s proof [33] based on parameterized KAM, and to study almost reducibility of , his approach strongly depends on the fact the constant part is non-degenerated, i.e.,
(19) |
as also explored by Bjerklöv and Krikorian (Theorem 2.2 of [21]), however neither in the case is large (one may first apply Lemma 3.3 to reduce it to local situation) nor in the case is small enough, (19) is satisfied. Avila’s approach [7] is duality based where the desired almost reducibility estimates are provided by almost localization of the dual operator. However, it is obvious that we do not have the duality approach for case.
Now we give the proof of Theorem 4.1. For given , let
which is an open set since almost reducibility cocycles is an open set in (Corollary 1.3 of [4]), i.e.,
where or . Note that the operators we consider are bounded, thus we only need to prove purely absolutely continuous spectrum in for some . Take any interval in omiting and denote it by . To prove has purely absolutely continuous spectrum in the bounded interval , one only need to prove that has purely absolutely continuous spectrum in
for any sufficiently small .
Now we give the full proof. First we need the following result, which states that for any , then after a finite number (that is uniform with respect to ) of conjugation steps, one can reduce the cocycle to the perturbative regime.
Lemma 4.2.
For any there exist and such that for any , there exist with such that
with for some constant
Proof.
Similar proof first appeared in Proposition 5.2 of [67], we give the proof just for completeness. The crucial fact for this proposition is that we can choose to be independent of and and choose to be independent of .
For any there exists such that
with and for some Note that for any ,
Thus for any one has
It follows that with the same we have
for any energy in a neighborhood of . Since is compact, by compactness argument, we can select to be independent of the energy . ∎
Once having Lemma 4.2, one can apply the KAM scheme (Proposition A.1) to get precise control of the growth of the cocycles in the resonant sets. We inductively give the parameters, for any , , define
where and are constant defined in Proposition A.1, and define
Then we have the following:
Proposition 4.3.
Let . Then there exists with , such that
with estimates , Moreover, for any , denote
If , then can be written as
where
with estimates
Proof.
We prove Proposition 4.3 by iteration. In the proof, we will omit its dependence on the energy for simplicity. Assume that we have completed the -th step and are at the -th KAM step, i.e. we already construct such that
with estimates
Note implies . Then by our selection of (see also Remark A.2), one can check that
Indeed, on the left side of the inequality decays super-exponentially with while on the right side decays exponentially with . Thus, Proposition A.1 can be applied iteratively, consequently one can construct
such that
Let then
Moreover, according to the resonance relation, we can distinguish the following two cases:
Non-resonant case: If , i.e. for any with we have
then by Proposition A.1, we have
(20) |
which implies that
Resonant case: If , i.e. there exists with such that
By Proposition A.1, we have
and the conjugacy satisfy
(21) |
which implies that
Moreover, we can write
with estimates
Finally, we are left to prove
To estimate this, we need more detailed analysis on the resonances. Assume that there are at least two resonant steps, say the and . At the -step, the resonance condition implies
hence by , we have
(22) |
On the other hand, according to Proposition A.1, after the -step, . Then (20) implies that since by our selection, between and step, there are no resonant steps. Thus by (22) and , we have
(23) |
Assuming that there are resonant steps, associated with integers vectors
By (20), (21) and (23), we have
We thus finish the proof.
∎
Remark 4.4.
As we noted in Proposition A.1, in the resonant case, the new perturbation can be chosen as , which is much smaller than . However, here we just choose , otherwise if the perturbation depends on (due to the fact the resonances depend on ), one cann’t give a good stratification of the energies in the spectrum.
In the construction, just means the cocycle is resonant in the -th KAM step. If , then we have the following characterization of its IDS and the growth of the cocycles in the resonant sets:
Lemma 4.5.
Assume that , then there exists with such that
(24) |
Moreover, we have
Proof.
First by Lemma 4.2 there exist with such that
Furthermore by Proposition 4.3, there exist with such that
and for any , we have
(25) |
for some with .
Thus, we deduce that
(26) |
Note that , we have
(27) |
Combining (25), (26) and (27) suggest that
Let , then
with estimate
Next we observe that
consequently by the fact that we obtain (24).
On the other hand, note if are small matrices, then there exists such that
where is a sum of terms at least 2 orders in Thus by Proposition 4.3, there exist with such that
with estimates , . This imply that
∎
Next we study the regularity of . The observation here is that while is not an analytic quasi-periodic cocycle, its iterate indeed defines an analytic quasi-periodic cocycle, then we one can pass the -Hölder continuity of to , the rest proof is standard.
Lemma 4.6.
Assume that , then the integrated density of states is -Hölder continuous on .
Proof.
The assumption implies . Thus for any , we apply the following result:
Lemma 4.7.
Let , if is analytically almost reducible, then for any continuous map we have
where is a constant depending on .
Proof.
Consequently, by Lemma 4.7, we have which implies that On the other hand, Thouless formula state that
then for every , we have
which gives
Since is locally constant in the complement of , this means precisely that is -Hölder continuous. ∎
As a consequence of Lemma 4.6, we can show has a lower bound estimate:
Lemma 4.8.
For any which is small enough, if , then for sufficiently small ,
where is a small universal constant.
Proof.
The proof is first developed by Avila [4] in the quasi-periodic case, which can be generalized to the general case almost without change, we sketch the proof here just for completeness. Let . For any we have then by Thouless formula we have
We split the integral into four parts: , , and .
Proof of Theorem 4.1
Let be the set of such that the Schrödinger cocycle is bounded, which equals to the set is bounded. By Theorem 2.2, it is enough to prove that for any .
Let be the set of such that is reducible, then only contains for which is analytically reducible to a constant parabolic cocycle. Recall that for any , by well-known result of Eliasson [33], if is rational or Diophantine w.r.t , then is reducible. It follows that is countable: indeed for any such there exists such that Moreover, if , then any non-zero solution of , satisfies , so there are no eigenvalues in and . Therefore, it is enough to show that for sufficiently small , Note that , by Borel-Cantelli Lemma, we only need to prove .
5. Anderson Localization
In this section, we will prove Anderson localization for GAA model and quasi-periodic mosaic model. We will fix (the GAA model) or (quasi-periodic mosaic model) in this section, and for the quasi-periodic mosaic model, we will just consider , since the general case follows similarly.
Theorem 5.1.
Suppose that . Then has Anderson Localization in the set
for every , where
We start with the basic setup going back to [53]. We will use the notation for the Green’s function of the operator restricted to the interval with zero boundary conditions at and . To simplify the notations, we replace by , the -dependence of various quantities will be omitted in some cases.
Denote by the step transfer-matrix of , and denote
then the step transfer-matrix can be written as
By Kingman’s Subadditive Ergodic Theorem, Lyapunov exponent satisfies
(28) |
for almost every . Moreover, if we recall the following Furman’s result:
Theorem 5.2.
Then we have uniform growth of the transfer matrix:
Lemma 5.3.
For every and , there exists such that
for every and every .
Proof.
When the Lyapunov exponent is positive, Lemma 5.3 implies that some of the entries must be exponentially large. These entries in turn appear in a description of the Green’s function of the operator restricted to a finite interval. Namely, by Cramer’s Rule, if we denote
then for , and ,
(29) |
A useful definition about Green’s function is the following:
Definition 5.4.
[53] Fix and . A point will be called -regular if there exists an interval , , containing , such that
Otherwise, will be called -singular.
It is well known that any formal solution of the at a point can be reconstructed from the boundary values via
(30) |
This implies that if is a generalized eigenfunction, then every point with is -singular for sufficiently large: . In the following, we just just assume (otherwise replace by ). Then Theorem 5.1 will follow from the next result:
Proposition 5.5.
Assume that , , . Then for every , for any sufficiently large, there exists such that is regular.
Proof of Theorem 5.1.
It is well known that if every generalized eigenfunction of decays exponentially, then the operator displays Anderson localization. Let be a generalized eigenvalue of , and denote the corresponding generalized eigenfunction by . Let small enough, by (30) and Proposition 5.5, if the point is -regular for some . Thus, there exists an interval of length containing such that and
Using (30), we obtain that
This implies exponential decay of the eigenfunction if is chosen small enough. ∎
5.1. Anderson localization for the GAA model.
For the GAA model, the basic observation is that , then all the elements of can be expressed by . The key observation is the following:
Lemma 5.6.
We have
where is a polynomial of degree k.
Proof.
First notice that
where , , then it is a trigonometric polynomial with degree less than .
On the other hand, since is an even function, denote the change of basis , then
which implies that
Due to the fact
then we have
Therefore, we obtain
since the linear span of is equal to that of , consequently we have
∎
Lemma 5.7.
Suppose is -singular. Then for every satisfying , we have belongs to for .
Proof.
Since is -singular, without loss of generality, assume that for every interval of length containing with , then and , we have that
Using (29), we have
by Lemma 5.3, we obtain
which implies that
On the other hand, by Jensen’s formula and uniquely ergodicity,
thus there exists such that if , then
Consequently, by Lemma 5.6, we have
which just means . ∎
On the other hand, we may write the polynomial in Lagrange interpolation form
(31) |
and introduce the following useful definition:
Definition 5.8.
We say that the set is uniform if
Lemma 5.9.
Let , . If , then is not uniform for .
Proof.
Otherwise, using (31) we get
for any . On the other hand, if is large enough, then
which implies that for all . However, by Herman’s subharmonic function argument, , this is a contradiction. ∎
We consider two points 0 and , without loss of generality, assume . let , . Then we can construct the following sequence:
These points are distinct and satisfy the following:
Lemma 5.10.
Suppose that , . Then for any , there exists , such that for , the above constructed sequence is uniform.
Proof.
This is essentially Lemma 7 of [53]. ∎
Proof of Proposition 5.5: GAA case.
By Lemma 5.9 and Lemma 5.10, we know that can not be inside at the same time for sufficiently large . Since is a generalized function satisfying , is singular for sufficiently large . Applying Lemma 5.7, one obtains
Assume is -singular, then we also have
Thus , this contradiction means must be regular for . Notice that , we thus finish the proof of GAA case.
5.2. Anderson localization for the mosaic model.
Note in the GAA case, one of the basic observation is that the elements of can be expressed by . In the quasi-periodic mosaic case, the transfer matrix reads as
the key observation is that elements of can be written as linear combination of (possibly with different and different ):
Lemma 5.11.
We have
Proof.
Note that and . Then if we expand the determinant by the last column, we have
Meanwhile, if we expand the determinant by the first column, we have
which implies that
We thus finish the proof. ∎
Similar to Lemma 5.6, we have the following:
Lemma 5.12.
For every , there exists a polynomial of degree such that
Proof.
Since is an even function, it follow that the changes of basis transforms
which implies that
The rest proof is similar to Lemma 5.6, we thus omit the details. ∎
Lemma 5.13.
Suppose is singular, . Then for every satisfying , we have belongs to for .
Proof.
The proof is similar to Lemma 5.7, we omit the details. ∎
Lemma 5.14.
Let , , . If , then is not uniform for .
Proof.
Assume that is the sequence of denominators of the best rational approximations of . Select such that and let be the largest positive integer satisfying . Set as follows
Lemma 5.15.
Let , then for any , the set is uniform if .
Proof.
Take . Now it suffices to estimate
Then Lemma 2.1 reduces this problem to estimating the minimal terms.
First we estimate :
we cut or into sums and then apply Lemma 2.1, we get that for some absolute constant :
Next, we estimate as follows:
For any , since we have
Therefore we obtain
This means in any interval of length , there can be at most one term which is less than . Then there can be at most 3 such terms in total.
For the part , since
these 3 smallest terms must be bounded by from below. Hence by Lemma 2.1, we have
(32) |
for and some absolute constant . For the part , since , then
these 3 smallest terms must be greater than . Therefore combining with (32), we have
consequently, for any if , i.e. the set is uniform. ∎
Proof of Proposition 5.5: Quasi-periodic mosaic case:
Combining Lemma 5.14 and Lemma 5.15, we know that when is sufficiently large, can not be inside the set at the same time. Therefore 0 and can not be -singular at the same time by Lemma 5.13. However 0 is singular given large enough. Therefore
Thus must be regular for . Notice that , thus we complete the proof.
6. Proof of Main results
Proof of Theorem 1.1: By Corollary 3.10, Theorem 1.1 (1) and the first statement of Theorem 1.1 (3) follow from Theorem 2.5 and Theorem 4.1.
Theorem 1.1 (2) and the second statement of Theorem 1.1 (3) follow from Theorem 5.1.
Proof of Theorem 1.3:
The proof is same as Theorem 1.1, one only needs to replace Corollary 3.10 by Corollary 3.5.
Proof of Theorem 1.4:
The proof is same as Theorem 1.1, one only needs to replace Corollary 3.10 by Corollary 3.8.
Theorem 1.3 and Theorem 1.4 covers the quasi-periodic mosaic model and , for the general , recall that
and we have the following
Theorem 6.1.
For any , , , then are the MEs. More precisely,
-
(1)
has purely absolutely continuous spectrum for every in
(33) -
(2)
If
then has Anderson localization in this set for almost every .
Proof.
Proof of Corollary 1.6:
By Aubry duality, we only to need consider its dual operator . By Corollary 3.13, Theorem 2.5 and Theorem 4.1, has purely absolutely continuous spectrum in for every . By Corollary 3.13 and Theorem 5.1, has Anderson localization in for a.e. . By Aubry duality [27, 45], and the fact that
ME of (4) has the form , which is just .
Appendix A A quantitative almost reducibility result
Proposition A.1.
Let . Suppose that , Then for any there exists numerical constant and constant such that if
then there exist such that
More precisely, let , then we can distinguish two cases:
-
•
(Non-resonant case) if for any with we have
then
Moreover, .
-
•
(Resonant case) if there exists with such that
then we have
Moreover, , letting , then the constant can be written as
with estimates , .
Remark A.2.
Assume that varies in some compact subset of . Then can be taken uniform with respect to .
Acknowledgements
The authors would like to thank D. Damanik, R. Krikorian and S. Jitomirskaya for useful discussions. X. Xia, J. You and Q.Zhou were partially supported by National Key R&D Program of China (2020YFA0713300) and Nankai Zhide Foundation. Y. Wang is supported by the NSFC grant (12061031). J. You was also partially supported by NSFC grant (11871286). Z. Zheng acknowledges financial supports of NSFC grant (12031020, 11671382), CAS Key Project of Frontier Sciences (No. QYZDJ-SSW-JSC003), the Key Lab. of Random Complex Structures and Data Sciences CAS and National Center for Mathematics and Interdisciplinary Sciences CAS. Q.Zhou was supported by NSFC grant (12071232), the Science Fund for Distinguished Young Scholars of Tianjin (No. 19JCJQJC61300).
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