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arXiv:2610.03362

Strict non-tightness of the level-3 quantum bootstrap for a natural three-dimensional Hamiltonian, at an excited level

Daniel Keren, Ye Zhou

quant-phmath-phSubmitted Oct 2, 2026• Announced Oct 5, 2026• 0 citations• Revised Oct 7, 2026 (v2)
v1 · Oct 2, 2026v2 · Oct 7, 2026
arXivHTMLPDF

Abstract

For the coupled three-dimensional double well $H=\tfrac12|p|^2+2\sum_i(q_i^2-1)^2-\sum_{i<j}q_i^2q_j^2$ we exhibit, at the first excited energy level (and also at the ground state), a linear functional on polynomials of degree $\le 6$ that satisfies every constraint of the standard level-3 eigenstate bootstrap, has a \emph{strictly} positive definite moment matrix, and nevertheless assigns a negative value to a nonnegative polynomial. It is therefore an interior point of the level-3 relaxation that is realized by no quantum state. The construction reflects a fact that holds at every level: the eigenstate rows never reach the top-degree momentum moments. At level 3, where strictly feasible points exist, this means that the corresponding block of the moment matrix carries no information about which energies admit one. Every algebraic ingredient is an exact rational certificate, and the only numerical ingredients (spectral enclosures of an eigenfunction) are carried out in rigorous ball arithmetic.

Comments
14 pages. Code and certificates included as ancillary files. Updated reference to companion paper arXiv:2610.07775; results unchanged

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For the coupled three-dimensional double well H=12∣p∣2+2∑i(qi2−1)2−∑i<jqi2qj2H=\tfrac12|p|^2+2\sum_i(q_i^2-1)^2-\sum_{i<j}q_i^2q_j^2H=21​∣p∣2+2∑i​(qi2​−1)2−∑i<j​qi2​qj2​ we exhibit, at the first excited energy level (and also at the ground state), a linear functional on polynomials of degree ≤6\le 6≤6 that satisfies every constraint of the standard level-3 eigenstate bootstrap, has a \emph{strictly} positive definite moment matrix, and nevertheless assigns a negative value to a nonnegative polynomial. It is therefore an interior point of the level-3 relaxation that is realized by no quantum state. The construction reflects a fact that holds at every level: the eigenstate rows never reach the top-degree momentum moments. At level 3, where strictly feasible points exist, this means that the corresponding block of the moment matrix carries no information about which energies admit one. Every algebraic ingredient is an exact rational certificate, and the only numerical ingredients (spectral enclosures of an eigenfunction) are carried out in rigorous ball arithmetic.
The numerical bootstrap for quantum mechanics tests a candidate state's positivity only against sums of squares, whereas every physical state assigns nonnegative expectation to every pointwise nonnegative polynomial. In one dimension the two coincide; in two or more they do not. Whether this gap is realized depends sharply on which constraint set is imposed. For the stationary bootstrap, which imposes <[H,O]> = 0 and is the relaxation appropriate to thermal and mixed states, we exhibit a two-dimensional quartic double well and a moment vector that satisfies every level-three stationary constraint exactly, has a positive definite moment matrix, and yet assigns a negative expectation to a polynomial nonnegative on R^2; it is therefore the moment sequence of no state. All data are rational, and every step is verified in exact arithmetic. For the eigenstate bootstrap, which additionally imposes = E, the same search finds no violation in any of five settings spanning two, three and five degrees of freedom and truncation levels three and four, tested against complete families of separating polynomials. The single exception occurs at a truncation so low that only one eigenstate constraint survives, and the theory presented here accounts for it. We identify the mechanism: the eigenstate constraints bound the high momentum moments, otherwise unbounded on the feasible set, and it is those unbounded directions that reach the region between the two cones. Finally, under the reflection symmetries of a typical potential the relevant obstruction is copositivity rather than nonnegativity, which, for the quartic witnesses available at the lowest truncation, places the first possible failure at five degrees of freedom. We conjecture that the eigenstate constraints imply an Archimedean-type bound on the momentum moments, and formulate the corresponding tightness statement.
The eigenstate quantum-mechanical bootstrap can converge to the physical moment set while remaining nonexact at every finite order. We prove this for a one-dimensional quasi-exactly solvable sextic oscillator at explicitly known eigenvalues, including excited levels. At every finite order, the lower and upper bounds on u2u^2u2 remain strictly below and above its physical value, even after adjoining arbitrary finite polynomial Gram tests and all eigenstate-annihilator relations visible in the retained moment space. Hence neither side of the centered observable admits a finite sum-of-squares certificate modulo the eigenstate annihilator. The gap persists under any finite set of additional localizing constraints whose weights are strictly positive on polynomial vectors. We then prove convergence for polynomial Schrödinger operators satisfying explicit sum-of-squares confinement and derivative bounds. The eigenstate relations give moment estimates uniform in the truncation order; these yield a regular Schrödinger representation supported on the prescribed eigenspace. Finally, a four-mode extension combines this fixed-observable obstruction with feasible position moments having no positive representing measure at every finite order. At level three, this construction yields nonphysical feasible points with strictly positive definite moment matrices.
The many-body bootstrap certifies ground-state properties by minimizing energy over correlators constrained only by positivity, without any variational wavefunction. Its cost, however, grows exponentially with the size of the operators involved, placing the long-range string correlators that diagnose topological phases out of reach. We overcome this by treating string operators as primary objects: bare and endpoint-dressed strings satisfy a closed operator algebra with one another and with local words, yielding a semidefinite program whose cost grows only polynomially with string length. A single computation then yields estimates of string correlators of all lengths. Rigorous two-sided bounds are obtained for each target string once the ground-state energy is pinned within a window. When benchmarked against density-matrix renormalization group computations on the cluster Ising and spin−1-1−1 Heisenberg chains, the method certifies the nonlocal string order of the cluster and Haldane phases directly from the Hamiltonian. Our rigorous certification of string order parameters reveal that the sharpness of the bounds is set by which operators enter the calculation, not by their length alone. By exploiting algebraic closure of strings and local words, our framework lifts spatially extended observables into polynomially tractable bootstrap variables, opening up a route to wavefunction-free certification of nonlocal order in quantum many-body systems.
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ARCHANGEL develops a constructive mathematical framework for the common realization of positive matrix moments, compatibility testing across directional data, and rigorous certification of operator-valued responses. Its principal contributions connect matrix inequalities, constrained realization theory, spectral geometry, semidefinite certification, and finite-dimensional quantum tomography. The central result is a necessary-and-sufficient common-realization criterion within a specified finite positive Gaussian model class. Under explicit kernel and positive-curvature assumptions, the construction determines whether complete joint moment data admit one realization satisfying a prescribed spectral cutoff constraint. It provides an explicit extremizer attaining the resolvent lower bound Lₐ = Q(Q + aR)⁺Q simultaneously for every positive parameter a. The auxiliary dimension is minimal and equals rank(Q); in the three-direction, ten-dimensional formulation, at most 30 auxiliary modes are required. A particularly distinctive result is an exact rational counterexample to the inference from separate directional feasibility to joint realizability. Every real direction individually passes its optimized feasibility test, yet no single common realization satisfies all directional constraints together. The obstruction survives every compatible complex completion of the unmeasured imaginary entries. This establishes a precise limitation of reconstructing a shared system from separately successful directional tests. Additional results include: Sharp directional coverage bounds. A general coverage parameter quantifies how much finite directional testing can underestimate the largest response. The optimal missed-peak factor is 4/3 for planar trigonal sampling and 3/2 even when every direction in all three coordinate planes is tested. Sharp reconstruction stability. Three planar trigonal measurements reconstruct the complete quadratic directional operator, with an optimal 5/3 amplification factor for uniformly bounded measurement errors. Ten-dimensional holonomy certification. Two Weyl transformations detect every nonscalar component of a Hermitian response operator. A sharp Hilbert–Schmidt robustness inequality has the golden ratio as its optimal constant. Exact continuum positivity certification. A planar operator-valued trigonometric inequality is reduced to a finite semidefinite feasibility problem using matrix Fejér–Riesz factorization. For the ten-dimensional code, the degree-one certificate uses a 20 × 20 block matrix. Explicit tomography and combined bounds. A construction using 100 preparations reconstructs any ten-dimensional Hermitian response. Combining spatial reconstruction with holonomy contrasts gives a sharp joint certification inequality. The mathematical value lies in distinguishing independently compatible observations from data that admit one shared realization, constructing extremal realizations with minimal auxiliary dimension, and replacing incomplete sampling arguments with quantitative or exact certificates. These questions are relevant to matrix moment problems, inverse spectral modelling, constrained system identification, and quantum response certification. The release includes a 95-page compendium, complete proofs, five preserved research studies, correction and theorem indexes, reproducible Python code, three synthetic figures, and 32 passing computational verification groups. Exact arguments establish the continuum statements; numerical calculations provide supplementary consistency checks. Status and scope: The stated finite-matrix problems are resolved under their explicit assumptions. The work is an AI-assisted theory and methods contribution using established tools, including Schur complements, Weyl operator methods, and matrix polynomial factorization. External peer review and a comprehensive literature-priority assessment remain outstanding. No experimental validation is claimed.