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arXiv:2606.02838

The pseudogap in high-$T_c$ superconductors from SU(2) gauge symmetry and dynamic correlation effects

I. A. Goremykin, A. A. Katanin

Published Jun 1, 2026• 0 citations
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Abstract

We consider the spectral properties of the two-dimensional Hubbard model, describing the electronic properties of high-$T_c$ compounds, within the SU(2) gauge theory, which assumes the separation of electronic degrees of freedom into those of spinon and chargon subsystems. We use the dynamic mean-field theory (DMFT) approach to describe magnetic long-range order in the chargon subsystem while also treating spinon fluctuations on top of this state. We show that DMFT supplemented by long-wavelength magnetic fluctuations is essential for describing the asymmetry in the damping between the inner and outer regions of the hole pockets and the resulting formation of Fermi arcs in the underdoped regime, especially at low hole doping. The underlying hole pockets in the chargon subsystem can be associated with those observed in quantum oscillation measurements.

DOI
10.48550/arxiv.2606.02838

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The pseudogap in high-TcT_cTc​ superconductors from SU(2) gauge symmetry and dynamic correlation effects
We consider the spectral properties of the two-dimensional Hubbard model, describing the electronic properties of high-TcT_cTc​ compounds, within the SU(2) gauge theory, which assumes the separation of electronic degrees of freedom into those of spinon and chargon subsystems. We use the dynamic mean-field theory (DMFT) approach to describe magnetic long-range order in the chargon subsystem while also treating spinon fluctuations on top of this state. We show that DMFT supplemented by long-wavelength magnetic fluctuations is essential for describing the asymmetry in the damping between the inner and outer regions of the hole pockets and the resulting formation of Fermi arcs in the underdoped regime, especially at low hole doping. The underlying hole pockets in the chargon subsystem can be associated with those observed in quantum oscillation measurements.
We present a SU(2) gauge theory of fluctuating magnetic order in the two-dimensional Hubbard model. The theory is based on a fractionalization of electrons in fermionic chargons and bosonic spinons. The chargons undergo N\'eel or spiral magnetic order below a density-dependent transition temperature T∗{T}^{*}T∗. Fluctuations of the spin orientation are described by a nonlinear sigma model obtained from a gradient expansion of the spinon action. The spin stiffnesses are computed from a renormalization group improved random phase approximation. Our approximations are designed for moderate, not for strong, Hubbard interactions. The stiffnesses are strongly doping dependent with discontinuities at half-filling and a pronounced electron-hole asymmetry. The spinon fluctuations prevent magnetic long-range order of the electrons at any finite temperature. The phase with magnetic chargon order shares characteristic features with the pseudogap regime in high-Tc{T}_{c}Tc​ cuprates: a strong reduction of charge carrier density, a spin gap, and Fermi arcs. A substantial fraction of the pseudogap regime exhibits electronic nematicity.
We present an SU(2) gauge theory of fluctuating stripe order in the two-dimensional Hubbard model. The theory is based on a fractionalization of the electron operators in fermionic chargons with a pseudospin degree of freedom, and charge-neutral spinons capturing fluctuations of the spin orientation. The chargons are treated in a renormalized mean-field theory. We focus on regions of the phase diagram where they undergo stripe order. The spinons are described by a nonlinear sigma model with pseudospin stiffnesses determined by the chargons. They prevent breaking of the physical SU(2) spin symmetry at any finite temperature, resulting in a charge-ordered pseudogap phase with a reconstructed Fermi surface and a spin gap. The spectral function for single-particle excitations exhibits a collection of Fermi arcs and other structures. The arcs appear in various regions of the Brillouin zone, but never exclusively near the Brillouin zone diagonals. For a suitable choice of the bare dispersion relation, the form of the low energy spectral function resembles experimental observations from angular resolved photoemission on cuprates in which stripe fluctuations play an important role.
This thesis deals with the Hubbard model as prototypical model to describe the physics of electrons in the two-dimensional copper-oxide planes of high-TcT_cTc​ cuprates. To get approximate solutions, we employ functional renormalization group (fRG) and dynamical mean-field theory (DMFT) methods. We deal with the problem of identifying bosonic fluctuations in the vertex function, exhibiting an intricate dependence on momenta and frequencies already at moderate coupling. In the normal, paramagnetic phase, the goal is achieved by employing the recently introduced single-boson exchange decomposition. In the symmetry-broken phases, we reformulate the previously introduced combination of fRG with mean-field theory by explicitly introducing a bosonic field. A widely discussed and challenging problem is the emergence of a pseudogap in the Hubbard model. In this thesis we assume this phase to be characterized by strong magnetic fluctuations. Following previous works, we fractionalize the electron in a chargon, carrying the electron's charge, and a charge neutral spinon, which represents local fluctuations of the spin orientation. The chargons undergo N\'eel or spiral magnetic order below a density-dependent transition temperature T∗T^*T∗. We compute DC charge transport coefficients for the chargons, and obtain a pronounced drop in the charge carrier density across the magnetic-to-paramagnetic transition. Directional fluctuations of the spin orientation are described by a non-linear sigma model and prevent long-range ordering of the electrons at any finite temperature. The phase where the chargon degrees of freedom are magnetically ordered shares many features with the pseudogap regime observed in high-TcT_cTc​ cuprates: a strong reduction of the charge carrier density, a spin gap, Fermi arcs, and electronic nematicity.
We compute the electron spin susceptibility in the pseudogap regime of the two-dimensional Hubbard model in the framework of a SU(2) gauge theory of fluctuating magnetic order. The electrons are fractionalized in fermionic chargons with a pseudospin degree of freedom and bosonic spinons. The chargons are treated in a renormalized mean-field theory and order in a Néel or spiral magnetic state in a broad range around half filling below a transition temperature T * . Fluctuations of the spin orientation are captured by the spinons. Their dynamics is governed by a nonlinear sigma model, with spin stiffnesses computed microscopically from the pseudospin susceptibility of the chargons. The SU(2) gauge group is higgsed in the chargon sector, and the spinon fluctuations prevent breaking of the physical spin symmetry at any finite temperature. The electron spin susceptibility obtained from the gauge theory shares many features with experimental observations in the pseudogap regime of cuprate superconductors: the dynamical spin susceptibility S ( q , ω ) has a spin gap, the static uniform spin susceptibility κ s decreases strongly with temperature below T * , and the NMR relaxation rate T 1 − 1 vanishes exponentially in the low temperature limit if the ground state is quantum disordered. At low hole doping, S ( q , ω ) exhibits nematicity below a transition temperature T nem < T * , and at larger hole doping in the entire pseudogap regime below T * .
This thesis deals with the Hubbard model as prototypical model to describe the physics of electrons in the two-dimensional copper-oxide planes of high-TcT_cTc​ cuprates. To get approximate solutions, we employ functional renormalization group (fRG) and dynamical mean-field theory (DMFT) methods. We deal with the problem of identifying bosonic fluctuations in the vertex function, exhibiting an intricate dependence on momenta and frequencies already at moderate coupling. In the normal, paramagnetic phase, the goal is achieved by employing the recently introduced single-boson exchange decomposition. In the symmetry-broken phases, we reformulate the previously introduced combination of fRG with mean-field theory by explicitly introducing a bosonic field. A widely discussed and challenging problem is the emergence of a pseudogap in the Hubbard model. In this thesis we assume this phase to be characterized by strong magnetic fluctuations. Following previous works, we fractionalize the electron in a chargon, carrying the electron's charge, and a charge neutral spinon, which represents local fluctuations of the spin orientation. The chargons undergo Néel or spiral magnetic order below a density-dependent transition temperature T∗T^*T∗. We compute DC charge transport coefficients for the chargons, and obtain a pronounced drop in the charge carrier density across the magnetic-to-paramagnetic transition. Directional fluctuations of the spin orientation are described by a non-linear sigma model and prevent long-range ordering of the electrons at any finite temperature. The phase where the chargon degrees of freedom are magnetically ordered shares many features with the pseudogap regime observed in high-TcT_cTc​ cuprates: a strong reduction of the charge carrier density, a spin gap, Fermi arcs, and electronic nematicity.
We study electronic structure of hole- and electron-doped Mott insulators in the two-dimensional Hubbard model to reach a unified picture for the normal state of cuprate high-Tc{T}_{c}Tc​ superconductors. By using a cluster extension of the dynamical mean-field theory, we demonstrate that structure of coexisting zeros and poles of the single-particle Green's function holds the key to understand Mott physics in the underdoped region. We show evidence for the emergence of non-Fermi-liquid phase caused by the topological quantum phase transition of Fermi surface by analyzing low-energy charge dynamics. The spectra calculated in a wide range of energy and momentum reproduce various anomalous properties observed in experiments for the high-Tc{T}_{c}Tc​ cuprates. Our results reveal that the pseudogap in hole-doped cuprates has a ddd-wavelike structure only below the Fermi level while it retains non-ddd-wave structure with a fully opened gap above the Fermi energy even in the nodal direction due to a zero surface extending over the entire Brillouin zone. In addition to the non-ddd-wave pseudogap, the present comprehensive identifications of the spectral asymmetry as to the Fermi energy, the Fermi arc, and the back-bending behavior of the dispersion, waterfall, and low-energy kink, in agreement with the experimental anomalies of the cuprates, do not support that these originate from (the precursors of) symmetry breakings such as the preformed pairing and the ddd-density-wave fluctuations, but support that they are direct consequences of the proximity to the Mott insulator. Several possible experiments are further proposed to prove or disprove our zero mechanism.