The main flaw of the well-known Brinkman-Rice description, obtained through the Gutzwiller approximation, of the paramagnetic Mott transition in the Hubbard model is in neglecting high-energy virtual processes that generate, for instance, the antiferromagnetic exchange $J\ensuremath{\sim}{t}^{2}/U$. Here, we propose a way to capture those processes by combining the Brinkman-Rice approach with a variational Schrieffer-Wolff transformation, and apply this method to study the single-band metal-to-insulator transition in a Bethe lattice with infinite coordination number, where the Gutzwiller approximation becomes exact. We indeed find for the Mott transition a description very close to the real one provided by the dynamical mean-field theory, an encouraging result in view of possible applications to more involved models.
The main flaw of the well-known Brinkman-Rice description, obtained through the Gutzwiller approximation, of the paramagnetic Mott transition in the Hubbard model is in neglecting high-energy virtual processes that generate, for instance, the antiferromagnetic exchange J\ensuremath∼t2/U. Here, we propose a way to capture those processes by combining the Brinkman-Rice approach with a variational Schrieffer-Wolff transformation, and apply this method to study the single-band metal-to-insulator transition in a Bethe lattice with infinite coordination number, where the Gutzwiller approximation becomes exact. We indeed find for the Mott transition a description very close to the real one provided by the dynamical mean-field theory, an encouraging result in view of possible applications to more involved models.
The Mott metal-insulator transition in the Hubbard model is studied by constructing a dynamical slave-boson mean-field theory in the limit of large lattice coordination number z that incorporates the binding between doubly occupied (doublon) and empty (holon) sites. On the Mott insulating side where all doublons and holons bond in real space into excitonic pairs leading to the charge gap, the theory simplifies considerably to leading order in 1/z and becomes exact on the infinite-z Bethe lattice. An asymptotic solution is obtained for a continuous Mott transition associated with the closing of the charge gap at a critical value of the Hubbard Uc and the corresponding doublon density ndc, hopping ${\ensuremath{\chi}}_{d}^{c}$ and doublon-holon pairing ${\mathrm{\ensuremath{\Delta}}}_{d}^{c}$ amplitudes. We find ${U}_{c}={U}_{\mathrm{BR}}[1\ensuremath{-}2{n}_{d}^{c}\ensuremath{-}\sqrt{z}({\ensuremath{\chi}}_{d}^{c}+{\mathrm{\ensuremath{\Delta}}}_{d}^{c})]\ensuremath{\simeq}0.8{U}_{\mathrm{BR}}$, where UBR is the critical value for the Brinkman-Rice transition in the Gutzwiller approximation captured in the static mean-field solution of the slave-boson formulation of Kotliar and Ruckenstein. Thus, the Mott transition can be viewed as the quantum correction to the Brinkman-Rice transition due to doublon-holon binding. Quantitative comparisons are made to the results of the dynamical mean-field theory, showing good agreement. In the absence of magnetic order, the Mott insulator is a U(1) quantum spin liquid with nonzero intersite spinon hopping that survives the large-z limit and lifts the 2N-fold degeneracy of the local moments. We show that the spinons are coupled to the doublons/holons by a dissipative compact U(1) gauge field in the deconfined phase, realizing the spin-charge separated gapless spin liquid Mott insulator.
Introduction In this chapter we study metal–insulator transitions which occur due to correlations between the charge carriers. This quantum phase transitions results from the competition between kinetic energy and Coulomb repulsion where the latter has the tendency to localise the electrons. The simplest model which describes this competition is the one-band Hubbard model with its two energy scales, the bandwidth W and the Coulomb repulsion U between electrons of opposite spins on the same site. For a fixed density of electrons, n = 1; as the ratio U/W increases, we expect to find a zero-temperature phase transition from a metallic state to an insulator where the electrons are frozen at the lattice sites. The method employed here to investigate this transition is the Gutzwiller approach (Gutzwiller, 1965). This is a variational method which played an important role in providing a framework for the ideas of Mott on the problem of the metal–insulator transition (Mott, 1974). On the metallic side of the transition, this approach describes a metal with renormalised Fermi liquid parameters, essentially with enhanced effective mass and uniform susceptibility. This is the so-called highly correlated electron gas (Brinkman and Rice, 1970) for which the metal oxide V 2 O 3 is the prototype system. In the insulating side, Gutzwiller's approximation yields a noninteracting system of localised electrons. This insulating phase is incompressible , i.e. has zero compressibility and infinite zero temperature susceptibility. The latter is not a consequence of interactions but simply due to the divergence of the Curie susceptibility, χ ∝ 1 /T , of non-interacting moments at T = 0. Then, in Gutzwiller's approach the transition is from a paramagnetic metal to a paramagnetic insulator. We will continue using the designation Mott transition to describe this type of phase transition where the insulating phase has no long-range magnetic order. In real systems, most frequently, localisation due to interactions is accompanied by the appearance of antiferromagnetic order.
The ionic Hubbard model is a paradigmatic setup for studying the competition between band and Mott insulating behavior. Within the variationally exact in infinite dimensions Gutzwiller approximation, we derive a compact analytic expression for the phase boundary between the Mott and band insulators. While the method reproduces the expected band–Mott insulator phenomenology, it does not capture the correlated metallic state at finite staggered potential found, for example, in dynamical mean-field theory. This absence highlights that the metallic phase originates from incoherent Hubbard-band physics rather than Fermi-liquid behavior well captured by the Gutzwiller approximation. Our formulation establishes a concise variational framework for the ionic Hubbard model, with natural extensions to nonequilibrium setups and spin-exchange dynamics. Abstract Published by the Jagiellonian University 2026 authors
We review the recently proposed extension of the Gutzwiller approximation, M. Schiro' and M. Fabrizio, Phys. Rev. Lett. 105, 076401 (2010), designed to describe the out-of-equilibrium time-evolution of a Gutzwiller-type variational wave function for correlated electrons. The method, which is strictly variational in the limit of infinite lattice-coordination, is quite general and flexible, and it is applicable to generic non-equilibrium conditions, even far beyond the linear response regime. As an application, we discuss the quench dynamics of a single-band Hubbard model at half-filling, where the method predicts a dynamical phase transition above a critical quench that resembles the sharp crossover observed by time-dependent dynamical mean field theory. We next show that one can actually define in some cases a multi-configurational wave function combination of a whole set of mutually orthogonal Gutzwiller wave functions. The Hamiltonian projected in that subspace can be exactly evaluated and is equivalent to a model of auxiliary spins coupled to non-interacting electrons, closely related to the slave-spin theories for correlated electron models. The Gutzwiller approximation turns out to be nothing but the mean-field approximation applied to that spin-fermion model, which displays, for any number of bands and integer fillings, a spontaneous Z2 symmetry breaking that can be identified as the Mott insulator-to-metal transition.
We develop an extension of the Gutzwiller approximation (GA) formalism that includes the effects of Coulomb interactions of arbitrary range (including density density, exchange, pair hopping, and Coulomb-assisted hopping terms). This formalism reduces to the ordinary GA formalism for the multiband Hubbard models in the presence of only local interactions. This is accomplished by combining the 1/z expansion---where z is the coordination number, and only the leading-order terms contribute in the limit of infinite dimensions---with a ${P}_{R}^{\ifmmode\dagger\else\textdagger\fi{}}{P}_{R}\ensuremath{-}I$ expansion, where PR is the Gutzwiller projector on the site R. The method is conveniently formulated in terms of a Gutzwiller Lagrange function. We apply our theory to the extended single-band Hubbard model. Similarly to the usual Brinkman-Rice mechanism, we find a Mott transition. A valence skipping transition is observed, where the occupation of the empty and doubly occupied states for the Gutzwiller wave function is enhanced with respect to the uncorrelated Slater determinant wave function.
Abstract: The metal–insulator transition (MIT) constitutes one of the most profound and persistent problems in condensed matter physics, sitting at the intersection of electronic structure theory, many-body physics, and emergent quantum phenomena. Conventional band theory, which successfully classifies materials as metals or insulators according to the filling of their electronic bands, fails dramatically when confronted with a class of compounds transition metal oxides chief among them that ought to be metallic by band-counting arguments yet are robustly insulating in the laboratory. The resolution of this paradox required abandoning the independent-electron picture entirely and recognizing that strong Coulomb repulsion between electrons can, by itself, drive localization. This insight, formalized by Mott and later distilled into the Hubbard model, established correlation-driven insulation as a phenomenon distinct from band insulation. The present paper offers a theoretical exploration of the MIT problem, tracing its conceptual development from the Mott criterion through the Hubbard Hamiltonian, the Brinkman–Rice scenario of quasiparticle mass divergence, and the watershed development of dynamical mean-field theory (DMFT), which rendered the Mott transition quantitatively tractable for the first time. We argue that the competition between the electronic bandwidth and the on-site interaction encoded in the ratio U/W provides the unifying organizing principle for the field. Building toward the modern frontier, we examine how the Mott transition connects to quantum phase transitions and quantum criticality, where zero-temperature instabilities governed by quantum rather than thermal fluctuations produce non-Fermi-liquid behavior and anomalous scaling. Case studies of vanadium oxides, rare-earth nickelates, and doped cuprates illustrate the diversity and subtlety of real correlated materials. We conclude that the MIT remains a central and unresolved problem whose continued study is increasingly entangled with the development of quantum materials and quantum technologies. Keywords: Metal–Insulator Transition; Mott Insulator; Strongly Correlated Electrons; Hubbard Model; DMFT; Quantum Criticality; Quantum Materials; Condensed Matter Physics