The Numerical Range Is a 2-Spectral Set

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Authors: Shanmu Jin
Cited by: 1

Abstract

For an \( n\times n \) complex matrix \( A \), let \( W(A)=\{x^*Ax : x\in\mathbb{C}^n,\ \lVert x\rVert_2=1\} \) be its numerical range. Here \( x^* \) denotes the conjugate transpose, \( \lVert\,\cdot\,\rVert_2 \) the Euclidean norm, and \( \lVert\,\cdot\,\rVert \) the induced operator norm. For every complex polynomial \( p \), we prove that \( [\lVert p(A)\rVert\leq 2\max_{z\in W(A)}\lvert p(z)\rvert] \) and consequently that \( W(A) \) is a \( 2 \)-spectral set for \( A \). This proves Crouzeix's conjecture, and the constant is optimal. The central new ingredient is a positive-real completion theorem: an adjoint-algebra constraint on the resolvent defect of a normalized matrix-valued Carathéodory function forces the underlying matrix to have norm at most \( 2 \). The classical positive double-layer calculus supplies such completions for matrices with simple spectrum and an algebra-generation property. Sampling the associated Herglotz kernel at half the conjugate eigenvalues and at the origin cancels the completion term and leaves a comparison of two weighted Gramians; a Stein identity yields the sharp estimate. Perturbation and smooth convex outer approximation remove all auxiliary hypotheses.

Fields of Study & Subjects

Matrix Theory and Algorithms Holomorphic and Operator Theory Mathematical Inequalities and Applications

Publication details

Journal / source
Preprints.org
Publisher
MDPI AG
Publication date
27 July 2026
Document type
Preprint