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arXiv:2504.02614 · Physical review. B./Physical review. B

Single-particle dispersion and density of states of the half-filled two-dimensional Hubbard model

Gabe Schumm, Shiwei Zhang, Anders W. Sandvik

Published Jul 29, 2025• 5 citations
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Abstract

Implementing an improved method for analytic continuation and working with imaginary-time correlation functions computed using quantum Monte Carlo simulations, we resolve the single-particle dispersion relation and the density of states (DOS) of the two-dimensional Hubbard model at half filling. At intermediate interactions of $U/t=4,6$, we find quadratic dispersion around the gap minimum at wave vectors $\mathbf{k}=(\ifmmode\pm\else\textpm\fi{}\ensuremath{\pi}/2,\ifmmode\pm\else\textpm\fi{}\ensuremath{\pi}/2)$ (the $\mathrm{\ensuremath{\Sigma}}$ points). We find saddle points at $\mathbf{k}=(\ifmmode\pm\else\textpm\fi{}\ensuremath{\pi},0),(0,\ifmmode\pm\else\textpm\fi{}\ensuremath{\pi})$ (the $X$ points), where the dispersion is approximately quartic, leading to a sharp DOS maximum above the almost flat ledge arising from the states close to $\mathrm{\ensuremath{\Sigma}}$. The fraction of quasiparticle states within the ledge is ${n}_{\mathrm{ledge}}\ensuremath{\approx}0.15$. Upon doping away from half filling, within the rigid-band approximation, these results support Fermi pockets around the $\mathrm{\ensuremath{\Sigma}}$ points, with states around the $X$ points becoming filled only at doping fractions $x\ensuremath{\ge}{n}_{\mathrm{ledge}}$. The high density of states away from the $\mathrm{\ensuremath{\Sigma}}$ gap edge may be an important clue for a finite minimum doping level for superconductivity and other instabilities of doped Mott insulators.

DOI
10.1103/8dnp-w7c6

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Implementing an improved method for analytic continuation and working with imaginary-time correlation functions computed using quantum Monte Carlo simulations, we resolve the single-particle dispersion relation and the density of states (DOS) of the two-dimensional Hubbard model at half filling. At intermediate interactions of U/t=4,6U/t=4,6U/t=4,6, we find quadratic dispersion around the gap minimum at wave vectors k=(\ifmmode±\else\textpm\fi\ensuremathπ/2,\ifmmode±\else\textpm\fi\ensuremathπ/2)\mathbf{k}=(\ifmmode\pm\else\textpm\fi{}\ensuremath{\pi}/2,\ifmmode\pm\else\textpm\fi{}\ensuremath{\pi}/2)k=(\ifmmode±\else\textpm\fi\ensuremathπ/2,\ifmmode±\else\textpm\fi\ensuremathπ/2) (the \ensuremathΣ\mathrm{\ensuremath{\Sigma}}\ensuremathΣ points). We find saddle points at k=(\ifmmode±\else\textpm\fi\ensuremathπ,0),(0,\ifmmode±\else\textpm\fi\ensuremathπ)\mathbf{k}=(\ifmmode\pm\else\textpm\fi{}\ensuremath{\pi},0),(0,\ifmmode\pm\else\textpm\fi{}\ensuremath{\pi})k=(\ifmmode±\else\textpm\fi\ensuremathπ,0),(0,\ifmmode±\else\textpm\fi\ensuremathπ) (the XXX points), where the dispersion is approximately quartic, leading to a sharp DOS maximum above the almost flat ledge arising from the states close to \ensuremathΣ\mathrm{\ensuremath{\Sigma}}\ensuremathΣ. The fraction of quasiparticle states within the ledge is nledge\ensuremath≈0.15{n}_{\mathrm{ledge}}\ensuremath{\approx}0.15nledge​\ensuremath≈0.15. Upon doping away from half filling, within the rigid-band approximation, these results support Fermi pockets around the \ensuremathΣ\mathrm{\ensuremath{\Sigma}}\ensuremathΣ points, with states around the XXX points becoming filled only at doping fractions x\ensuremath≥nledgex\ensuremath{\ge}{n}_{\mathrm{ledge}}x\ensuremath≥nledge​. The high density of states away from the \ensuremathΣ\mathrm{\ensuremath{\Sigma}}\ensuremathΣ gap edge may be an important clue for a finite minimum doping level for superconductivity and other instabilities of doped Mott insulators.
For doped two-dimensional Mott insulators in their normal state, the challenge is to understand the evolution from a conventional metal at high doping to a strongly correlated metal near the Mott insulator at zero doping. To this end, we solve the cellular dynamical mean-field equations for the two-dimensional Hubbard model using a plaquette as the reference quantum impurity model and continuous-time quantum Monte Carlo method as impurity solver. The normal-state phase diagram as a function of interaction strength UUU, temperature TTT, and filling nnn shows that, upon increasing nnn toward the Mott insulator, there is a surface of first-order transition between two metals at nonzero doping. That surface ends at a finite temperature critical line originating at the half-filled Mott critical point. Associated with this transition, there is a maximum in scattering rate as well as thermodynamic signatures. These findings suggest a new scenario for the normal-state phase diagram of the high temperature superconductors. The criticality surmised in these systems can originate not from a T === 0 quantum critical point, nor from the proximity of a long-range ordered phase, but from a low temperature transition between two types of metals at finite doping. The influence of Mott physics therefore extends well beyond half-filling.
By utilizing the twisted boundary conditions in the exact diagonalization method, we investigate the single-particle spectral function of the extended Peierls-Hubbard model at both half-filling and quarter-filling. In one-dimensional (1D) interacting systems, the spin-charge separation can typically be identified in the single-particle spectral function by observing the distinct spinon and holon bands. At half-filling, starting from the pure 1D Hubbard model with the on-site interaction U=10U=10U=10, we observe that the band structure indicative of the spin-charge separation gradually transitions to four individual bands as the Peierls instability $\ensuremath{\delta}$ increases. At U=10U=10U=10 and $\ensuremath{\delta}=0.2$ where the spin-charge separation is still observable, increasing the nearest-neighbor interaction VVV can drive the system to a charge-density-wave state when $V\ensuremath{\gtrsim}U/2$. At quarter-filling, on the other hand, the ground state of Peierls-Hubbard model manifests an antiferromagnetic Mott insulator in units of dimers. Increasing UUU results in only a very small gap in the single-particle spectrum because even for $U=+\ensuremath{\infty}$, with the model transforming into a noninteracting half-filled dimerized tight-binding model, its gap determined by the Peierls instability $\ensuremath{\delta}$ remains small. Conversely, increasing VVV can effectively open the single-particle gap and make the spinon and holon bands more prominent.
In this study, the metal-insulator transition in the square-lattice Hubbard model at half-filling is revisited in relation to the DOS and spectral functions by means of the ladder dual fermion approximation (LDFA). For this purpose, a new expression of the two-body Green's function in the form of resolvents is proposed, which provides tractable and efficient means to calculate the local vertex function with the Lanczos exact diagonalization (ED) method. This makes it possible to use the Lanczos ED method as a solver of the effective impurity Anderson model for LDFA, opening up the way to access low temperatures for these perturbative extensions of the dynamical mean-field theory and to obtain accurate DOS and spectral functions on the real frequency axis by a new variant of the maximum entropy method. It is found that for $U\ensuremath{\le}3.5t$, as temperature decreases, the pseudogap formation due to antiferromagnetic correlations in the quasiparticle peak of the spectral function occurs at the XXX point $[\mathbit{k}=(\ensuremath{\pi},0)]$, spreads through the Fermi surface and ends at the M2{M}_{2}M2​ point $[\mathbit{k}=(\ensuremath{\pi}/2,\ensuremath{\pi}/2)]$. The almost simultaneous creation of the pseudogap and the loss of the Fermi liquid feature is consistent with that expected in the Slater regime. Although the pseudogap still appears in the quasi-particle-like single peak for $U\ensuremath{\ge}4.0t$, the Fermi-liquid feature is partially lost on the Fermi surface already at higher temperatures as expected in the Mott-Heisenberg regime, in which local spins are preformed at high temperatures. A sharp crossover from a pseudogap phase to a Mott insulator at finite ${U}^{*}\ensuremath{\approx}4.7t$ is found to occur below the temperature of the pseudogap formation similar to a previous study with the nonlinear $\ensuremath{\sigma}$ model approach.
By utilizing the twisted boundary conditions in the exact diagonalization method, we investigate the single-particle spectral function of the extended Peierls-Hubbard model at both half-filling and quarter filling. In one-dimensional (1D) interacting systems, the spin-charge separation can typically be identified in the single-particle spectral function by observing the distinct spinon and holon bands. At half filling, starting from the pure 1D Hubbard model with the on-site interaction U=10U=10U=10, we observe that the band structure indicative of the spin-charge separation gradually transitions to four individual bands as the Peierls instability δδδ increases. At U=10U=10U=10 and δ=0.2δ=0.2δ=0.2 where the spin-charge separation is still observable, increasing the nearest-neighbor interaction VVV can drive the system to a charge-density-wave (CDW) state when V≳U/2V\gtrsim U/2V≳U/2, without the obeservation of spinon and holon bands. At quarter-filling, on the other hand, the ground state of Peierls-Hubbard model manifests an antiferromagnetic Mott insulator in units of dimers. Increasing UUU results in only a very small gap in the single-particle spectrum because even for U=+∞U=+\inftyU=+∞, with the model transforming into a noninteracting half-filled dimerized tight-binding model, its gap determined by the Peierls instability δδδ remains small. Conversely, increasing VVV can effectively open the single-particle gap and make the spinon and holon bands more prominent.
Recent refinements of analytical and numerical methods have improved our understanding of the ground-state phase diagram of the two-dimensional (2D) Hubbard model. Here, we focus on variational approaches, but comparisons with both quantum cluster and Gaussian Monte Carlo methods are also made. Our own ansatz leads to an antiferromagnetic ground state at half filling with a slightly reduced staggered order parameter (as compared to simple mean-field theory). Away from half filling, we find d-wave superconductivity, but confined to densities where the Fermi surface passes through the antiferromagnetic zone boundary (if hopping between both nearest-neighbour and next-nearest-neighbour sites is considered). Our results agree surprisingly well with recent numerical studies using the quantum cluster method. An interesting trend is found by comparing gap parameters Δ (antiferromagnetic or superconducting) obtained with different variational wave functions. Δ varies by an order of magnitude and thus cannot be taken as a characteristic energy scale. In contrast, the order parameter is much less sensitive to the degree of sophistication of the variational schemes, at least at and near half filling.
In connection with recent experiments on excitation in which Mott insulators change to conductors, we study the properties of excited states beyond the Mott gap as quasi-stationary states for a two-dimensional Hubbard (t-t'-U) model at half filling. A variational Monte Carlo method is used with trial wave functions for paramagnetic or normal (PM), superconducting with dx2-y2-wave (d-SC), isotropic s-wave, and extended s-wave symmetries, and antiferromagnetic (AF) states. The excited states are generated by imposing a minimum number of doubly occupied sites (doublons) D_L on the lowest-energy states. For U>W (W: band width), d_L=D_L/Ns (Ns: number of sites) corresponds to the excitation intensity. It is found that the AF state is the most stable among the states we treated for d_L<0.14 and insulating. The PM and d-SC states become conductive over a threshold d_Lc, and the conduction is caused by unbound doublons and holons (empty sites). The PM state arises for d_L>0.14, but the d-SC state is always hidden by the AF state. The s-wave-type superconducting states are not stabilized for any parameter set.