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978-1-009-24390-2 — Functional Analysis

Prahlad Vaidyanathan
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Functional Analysis
Functional Analysis is a part of mathematics that deals with linear spaces equipped with a
topology. The subject began with the work of Fredholm, Hilbert, Banach and others in the
early 20th century. They developed an algebraic/topological framework which could be
used to address a variety of questions in analysis. The subject immediately saw connections
to abstract algebra, partial differential equations, geometry and much more.
This book is meant to introduce the reader to functional analysis. The first half of the book
will cover the basic material that is taught in Masters programs across the world and prove
all the major theorems in great detail. The second half of the book will focus on operators
on a Hilbert space and is built around the proof of the spectral theorem – a central result
in the subject that ties together traditional functional analysis with the modern theory of
operator algebras.
The book aims to provide an accessible, interesting and readable introduction to the subject.
It will also take the reader a little further than most courses do by introducing them to the
language of operator algebras. This will help future researchers by giving them a jumping
off point as they dive into deeper books on the subject.

Prahlad Vaidyanathan teaches at the Indian Institute of Science Education and Research,
Bhopal. He has published several research papers on C*-algebras and their K-theory.

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Prahlad Vaidyanathan
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Functional Analysis

Prahlad Vaidyanathan

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Cambridge University Press & Assessment
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Prahlad Vaidyanathan
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Prahlad Vaidyanathan
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Contents

Preface ix

Notation xi

1. Preliminaries 1
1.1 Review of Linear Algebra . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Review of Measure Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2. Normed Linear Spaces 17
2.1 Definitions and Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
2.2 Bounded Linear Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
2.3 Banach Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
2.4 Finite Dimensional Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
2.5 Quotient Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
2.6 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
3. Hilbert Spaces 71
3.1 Orthogonality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
3.2 The Riesz Representation Theorem . . . . . . . . . . . . . . . . . . . . . . 78
3.3 Orthonormal Bases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
3.4 Isomorphisms of Hilbert Spaces . . . . . . . . . . . . . . . . . . . . . . . . 88
3.5 Fourier Series of L2 Functions . . . . . . . . . . . . . . . . . . . . . . . . . 92
3.6 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
4. Dual Spaces 111
4.1 The Duals of Lp Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
4.2 The Hahn–Banach Extension Theorem . . . . . . . . . . . . . . . . . . . . 122
4.3 Duals of Subspaces and Quotient Spaces . . . . . . . . . . . . . . . . . . . 131
4.4 Separability and Reflexivity . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
4.5 The Transpose of an Operator . . . . . . . . . . . . . . . . . . . . . . . . . 143
4.6 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149

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vi Contents

5. Operators on Banach Spaces 161

5.1 Baire Category Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
5.2 The Principle of Uniform Boundedness . . . . . . . . . . . . . . . . . . . . 163
5.3 The Open Mapping and Closed Graph Theorems . . . . . . . . . . . . . . 169
5.4 Fourier Series of L1 Functions . . . . . . . . . . . . . . . . . . . . . . . . . 179
5.5 Schauder Bases for Banach Spaces . . . . . . . . . . . . . . . . . . . . . . . 183
5.6 Compact Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
5.7 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
6. Weak Topologies 211
6.1 Weak Convergence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
6.2 The Hahn–Banach Separation Theorem . . . . . . . . . . . . . . . . . . . . 218
6.3 The Weak Topology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224
6.4 Weak Sequential Compactness . . . . . . . . . . . . . . . . . . . . . . . . . 232
6.5 The Weak-∗ Topology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 236
6.6 Weak-∗ Compactness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242
6.7 Locally Convex Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251
6.8 The Krein–Milman Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . 258
6.9 Uniformly Convex Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264
6.10 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272
7. Spectral Theory 287
7.1 Banach Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
7.2 Invertible Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295
7.3 Spectrum of an Element of a Banach Algebra . . . . . . . . . . . . . . . . . 302
7.4 Spectrum of an Operator . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311
7.5 Spectrum of a Compact Operator . . . . . . . . . . . . . . . . . . . . . . . 319
7.6 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
8. C*-Algebras 337
8.1 Operators on Hilbert Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . 337
8.2 C*-Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346
8.3 Commutative C*-Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . 357
8.4 Spectral Permanence Theorem . . . . . . . . . . . . . . . . . . . . . . . . . 368
8.5 Continuous Functional Calculus . . . . . . . . . . . . . . . . . . . . . . . . 373
8.6 Ideals and Quotients of C*-Algebras . . . . . . . . . . . . . . . . . . . . . . 380
8.7 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 386
9. Measure and Integration 397
9.1 Positive Linear Functionals on C*-Algebras . . . . . . . . . . . . . . . . . . 397
9.2 The Riesz–Markov–Kakutani Theorem . . . . . . . . . . . . . . . . . . . . 406
9.3 Complex Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 416
9.4 The Dual of C ( X ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 424
9.5 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 433

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Contents vii

10. Normal Operators on Hilbert Spaces 445

10.1 Compact Normal Operators . . . . . . . . . . . . . . . . . . . . . . . . . . 445
10.2 Multiplication Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449
10.3 The Spectral Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 452
10.4 Borel Functional Calculus . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458
10.5 Von Neumann Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 470
10.6 Spectral Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 480
10.7 Applications of the Spectral Theorem . . . . . . . . . . . . . . . . . . . . . 489
10.8 The Gelfand–Naimark Representation . . . . . . . . . . . . . . . . . . . . . 502
10.9 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 511
Appendices 523
A.1 The Stone–Weierstrass Theorem . . . . . . . . . . . . . . . . . . . . . . . . 523
A.2 The Radon–Nikodym Theorem . . . . . . . . . . . . . . . . . . . . . . . . . 527

Bibliography 533
Index 539

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Preface

This book is an attempt to emulate the classroom learning experience. It seems appropriate
in a world where online education has become par for the course and the student does not
always have access to a teacher who can help fill in the blanks. As a result, the book is
thorough (sometimes to a fault) and somewhat more conversational than most others of its
ilk.
The classroom is a place where one often engages in free-wheeling discussions that
cut across disciplines. The subject of Functional Analysis, which lies at the confluence of
modern analysis, algebra and topology, seems well-placed to transfer such discussions
to the written word. It seamlessly mixes ideas from these different subjects, is widely
applicable, and is therefore appealing to a broad spectrum of people. My hope is to present
an introduction to the subject that is useful to everyone, regardless of their tastes.
The book is intended to be used for a year-long course in Functional Analysis aimed at
Master’s or Ph.D. students. After a short review in Chapter 1, Chapters 2–6 constitute the
core of the subject. Here, one proves the Hahn-Banach theorems, the consequences of the
Baire Category theorem, and the Banach-Alaoglu and Krein-Milman Theorems. Barring a
few specialized topics, these chapters may be taught in a single semester.
The second half of the book (Chapter 7–10) is a little more advanced, and is meant to
be taught in the second semester as an introduction to the theory of Operator Algebras.
Ostensibly, the goal is to prove the Spectral Theorem for Normal Operators on a Hilbert
space. However, I have chosen to take the scenic route, introducing as much operator
algebra theory as I can given the time constraints. Perhaps the most egregious detour is
in Chapter 9, where one encounters a proof of the Riesz-Markov-Kakutani theorem (due to
Garling) that uses C*-algebra theory. I hope that such discussions will encourage students
to look further into this fascinating subject.
A word on the exercises: there are plenty of them at the end of each chapter. Many are
there to complement the results proved in the text, while others are there to allow students
to practice using these results. At the end of each chapter, there is a list of problems that are
somewhat tangential to the topic at hand (for example, Reproducing Kernel Hilbert spaces,
Amenable Groups, etc.). These are meant to introduce students to interesting questions and
avenues of research. As such, they may be used as jumping-off points for short projects. I
have also mentioned some books and articles one might use for further investigation.

ix

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x Preface

Finally, I should say that this book is far from comprehensive. Indeed, it would be
impossible to do justice to a subject that is as vast and varied as Functional Analysis. I hope,
though, that the book will give the reader enough tools to understand more advanced texts
with confidence.
The book was conceived and written during the interminable lockdowns necessitated
by the COVID-19 pandemic. During this time, Namrata and Nayan have had to put up
with me, my temper, and my all-pervading supply of paper. I want to thank them for their
patience and good humour through all of it. I also want to thank Vidya, Viswa, Kartik,
Vidya (Sr.) and all the others in the extended family whose affection and support over the
years means so much. Finally, I owe the greatest debt of gratitude to my parents. It is thanks
to their sacrifices that I am able to live a comfortable and happy life today. For this (and so
much more), this book is fondly dedicated to them.

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Notation
Throughout the book, I plan to use some notational conventions which I have described
below. Apart from these, a variety of symbols are used locally, which will be defined as and
when they appear.

Notation What it represents

C The set of complex numbers
N The set of natural numbers
Q The set of rational numbers
R The set of real numbers
Z The set of integers
µ, ν, λ Measures
M, N σ-algebras
L The Lebesgue σ-algebra
BX The Borel σ-algebra on X
AX The Baire σ-algebra on X
K The base field for a vector space
α, β, . . . Scalars in a field
x, y, z, . . . Elements of a vector space
f , g, h, . . . Scalar-valued functions, and elements of function spaces
A, B, C Banach or C*-algebras
I, J Ideals in a Banach or C*-algebra
E, F, W, N Normed linear spaces
H, K, M Hilbert spaces
ϕ, ψ (Bounded) linear functionals
T, S, . . . (Bounded) linear operators
Φ, Ψ Homomorphisms between Banach or C*-algebras

xi

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xii Preface

Notation What it represents

B(E) The set of bounded linear operators on E
K(E) The set of compact linear operators on E
F (E) The set of bounded finite rank operators on E
 Ideal (used as I  A)
1 Constant function 1
w
−
→ Weak convergence; also used for WOT-convergence
s
−
→ Strong (norm) convergence; also used for SOT-convergence
w∗
−→ Weak-∗ convergence
bp
−→ Bounded pointwise convergence

Among the exercises, those marked with the () symbol may be treated as an extension of
the text, and must be solved by any serious student of the subject.

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