The nonlocal Almgren problem
Abstract.
In the nonlocal Almgren problem, the goal is to investigate the convexity of a minimizer under a mass constraint via a nonlocal free energy generated with some nonlocal perimeter and convex potential. In the paper, the main result is a quantitative stability theorem for the nonlocal free energy assuming symmetry on the potential. In addition, several results that involve uniqueness, non-existence, and moduli estimates from the theory for crystals are proven also in the nonlocal context.
1. Introduction
A fundamental theorem in real analysis is Taylor’s theorem: assume
is twice differentiable,
. If , , then
(1) |
In particular, one may obtain sharp information from this: assume is a quantity which classifies an optimizer in the sense that implies . Now, let satisfy , with a small number; thus and the expectation is that . The utility of (1) is to make this clear in the context that is at most, up to a constant, from .
When instead of a real-valued function the object of investigation is an energy which is defined on measurable sets , recent work has investigated analogous estimates. An application is to understand the perturbations of minimizers through the energy. The main problem is to minimize subject to a mass constraint . Thus at the minimum , the first variation is zero , hence if some lower bound exists on the second variation, it is natural to anticipate that mod an invariance class
(2) |
where is the characteristic function of . A natural norm is often chosen to be the norm [Fig13]. In applications, the free energy is of the form
where is a surface energy and a potential/repulsion energy. In the next discussion, four physical and fundamental energies are underscored.
1.1. The Free Energy
The crystal theory starts with the anisotropic surface energy on sets of finite perimeter with reduced boundary :
where is a surface tension, i.e. a convex positively 1-homogeneous
with if . The potential energy of a set is
where , , [Ind24, IK23, IK24, FZ22, Tay78, TA87, Fon91, FM91, FMP10, DPV22, FM11]; see in addition many interesting references in [Ind24] that comprehensively discuss the history. In thermodynamics, to obtain a crystal, one minimizes the free energy
under a mass constraint. Gibbs and Curie independently discovered this physical principle [Gib78, Cur85].
1.2. The Binding Energy
The nonlocal Coulomb repulsion energy is given via
, . The binding energy of a set of finite perimeter is the sum
In the classical context, , , , [FN21]. The theory is historically attributed to
Gamow via his 1930 paper [Gam30] and it successfully predicts the non-existence of nuclei with a large atomic number, cf. references in [Ind23, CR24, FFM+15].
1.3. The Nonlocal Free Energy
The nonlocal perimeter encodes a parameter
1.4. The Nonlocal Binding Energy
The nonlocal Coulomb repulsion energy together with the nonlocal perimeter in the aforementioned give the nonlocal binding energy
see [FFM+15] for a theorem on the minimizers when the mass is small.
1.5. The Main Problem
Observe via the above that four main choices of are:
Therefore the central problem is: assume and solve
Naturally, the questions involve existence, uniqueness, convexity, and optimal stability. My paper investigates this for
Observe that two main ingredients define the nonlocal free energy of a set : ; and, .
In this context, the nonlocal Almgren problem is to investigate the convexity of a minimizer under the assumption that is convex, refer to [FM11, p. 146] to understand the local Almgren problem.
Several theorems may be shown without convexity on . In particular, a complete theory begins via (in several contexts, one can assume ).
1. Assuming coercivity, there are minima for [CN17].
2. Assuming that is sufficiently small, all minimizers are convex [BNO23].
3. One may construct a which is convex so that there are no minimizers if , see Theorem 3.6.
4. Assuming , is increasing, convex, , there exists a stability estimate similar to (2), see Theorem 2.1.
5. Assuming and up to sets of measure zero
admits unique
minimizers , there exist energy moduli. In addition, assuming that is sufficiently small, the energy modulus has a product structure, see Proposition 3.1 and Theorem 3.7.
6. Upper bounds for the moduli are obtained with minimal assumptions, see Theorem 3.2
2. Stability for nonlocal free energy minimization
Theorem 2.1.
Suppose , is increasing, convex, . Let , ,
then
(i)
for some ;
(ii) supposing , , then
for some explicit .
Remark 2.2.
Proof.
(i)
Assume
for . Then since
Therefore it is sufficient to prove: there exists so that if
then
(3) |
where . To start, the existence of a modulus is proved so that (3) is true (observe this also follows from a compactness proof, cf. Proposition 3.1, as soon as one obtains that the ball is the unique minimizer; the new argument has advantages in the context of explicitly encoding estimates to identify ). Suppose
denotes the Brenier map between and [Bre91]. Since
one has
(4) |
thus, (4) and monotonicity of yield
(5) |
Let achieve
Hence
(6) |
Assume
. Observe
Let , . Thus
yields
By the triangle inequality,
This thus implies
assuming is large.
Claim 1: .
Proof of Claim 1:
Assume not. Then modulo a subsequence,
Since , one obtains
thanks to the (strict) monotonicity of . Thus
and this contradiction yields Claim 1.
Claim 2: .
Proof of Claim 2:
If one can find a subsequence (continued to have the same index) so that
,
observe via the positive bound that up to possibly another subsequence,
In particular,
Hence
and this readily yields, mod a subsequence,
Therefore via Fatou
Define . Consider directions which generate via Steiner symmetrization with respect to the planes through the origin and with normal , and
Set
Note that one may let ; hence the monotonicity and complete symmetry of imply
Moreover, via the radial property of , one may rotate the coordinate so that and iterate the argument above:
in particular, note that via & the monotonicity of (the strict monotonicity), there is one direction so that the inequality is strict, therefore
Hence one obtains a contradiction
Note that this proves:
assuming
it follows that
(7) |
Now note
Hence there is some modulus so that
Supposing , , , then via strict monotonicity and convexity of , one obtains that the subdifferential
is compact and
(8) |
assume , one then can use and convexity to deduce that has a global minimum at and this is a contradiction via the strict monotonicity (, ), therefore this shows (8). Hence thanks to [IK23], there exists
(9) |
, so that
(10) |
Hence if
where small, then is small.
Next,
yields
and thus utilizing (6)
(11) |
Set
then note
& thanks to (11)
Therefore
(12) |
next, consider via
Observe that (12) easily implies
hence
In particular, since the energy difference is small , there exists a lower bound on via . Thanks to being small and (10), one may choose
such that
(13) |
where is bounded via . Now since , (12) implies
In particular, (13) and the above inequality imply
(14) |
(15) |
(16) |
Hence (15), (2), (16), (11), & the triangle inequality in imply
Last,
.
(ii)
Supposing , , then one can show similarly to the proof in (i) (cf. (10), (9)) that there exists some constant (that is explicit) so that
∎
Remark 2.3.
Assuming , the estimate is optimal: set ,
supposing is small, since
Remark 2.4.
In the argument of the theorem, (2) implies that balls minimize the energy also when is non-decreasing, radial, and possibly non-convex.
Remark 2.5.
In the theorem, a quantitative inequality is proven without translation invariance. In particular, the invariance class is completely identified and stability is not modulo translations like the quantitative anisotropic isoperimetric inequality. Supposing a context where the set is in a convex cone [FI13, Ind21, Pog24, DPV22], translations are crucial: assuming the cone contains no line, the quantitative term is without translations.
Corollary 2.6.
Suppose , where is non-negative, non-decreasing, not identically zero, and homogeneous of degree . Let and assume is the minimizer with , set
it then follows that
is concave on and convex on .
Proof.
Thanks to Remark 2.4, , , which therefore implies
The critical mass therefore is calculated with the second derivative. ∎
3. Appendix
3.1. Compactness: existence of moduli
Proposition 3.1.
If , , and up to sets of measure zero, admits unique minimizers , then for there exists such that if , , , and
then
Proof.
Assume the assumptions do not yield the conclusion, then there exists and for , there exist and , ,
Define , ; therefore there exist , ,
In particular
and via the compactness , up to a subsequence,
thus because of the triangle inequality in . Next
implies is a minimizer, contradicting
via the uniqueness. ∎
3.2. Bounds on the moduli
Identifying the modulus is in general complex. Additional conditions illuminate interesting properties as illustrated in the first theorem. In the subsequent theorem, upper bounds are illustrated with minimal assumptions.
Theorem 3.2.
Suppose , and up to sets of measure zero, admits unique
minimizers
in the collection of sets of finite perimeter,
then
(i) if is locally uniformly differentiable, there exists such that if , one has
with , ;
(ii)
if , there exists such that if , , then
as , ;
(iii) if , there exist such that if
, , then
;
(iv) if is twice
differentiable, there exists such that if ,
with ;
(v) if , there exists such that if
, then
.
Proof.
Remark 3.3.
The existence of bounded was proven in [CN17] via assuming coercivity of . Also, a minimizer is up to a closed set with Hausdorff dimension at most , a set, in particular, much more smooth than just a set of finite perimeter. One may in some contexts preclude translations (e.g. supposing that is strictly convex). If is zero on some small ball, then note that if the mass is very small, uniqueness is only up to translations and sets of measure zero.
Remark 3.4.
The assumption is locally uniformly differentiable in (i) can be weakened.
Remark 3.5.
Theorem 2.1 encodes the modulus in an explicit way. In particular, supposing is small, if , a possible modulus is . Thus the dependence in (v) is optimal. Observe also that via the quadratic, the dependence is almost sharp in two dimensions. The optimal –modulus also encodes .
3.3. Non-existence of minimizers
In the general case when is convex, one does not have existence.
Theorem 3.6.
There exists convex such that and such that if , then there is no solution to
Proof.
The definition of via the construction in [Ind24] also works in this case:
Set , ; the potential is non-increasing in the -variable and strictly decreasing if in particular, note if a minimizer exists,
therefore via the translation invariance of ,
a contradiction.
∎
In particular, coercivity or another condition is necessary.
3.4. A product property
If are given, an invariance map of the nonlocal free energy is a transformation
Uniqueness of minimizers can only be true up to sets of measure zero and an invariance map. Note that in many classes of potentials, assuming is small, is a translation; a simple case is: assume is zero on a ball , therefore if is small, , is such that when .
Supposing is locally bounded, the stability modulus, in the context of small mass, is a product in any dimension.
Theorem 3.7.
Suppose admits minimizers for all small. There exists and a modulus of continuity such that for all there exists such that for all and for all minimizers , , , if
there exists an invariance map such that
Also, , cf. (3.4).
Remark 3.8.
If , is increasing, , then is the identity in the conclusion of Theorem 3.7: if , then
Proof.
Via contradiction, suppose the theorem is not true, then for , for all moduli , there exists such that for there exists and , ,
and
(17) |
In particular, let , , define a modulus of continuity, and let
(18) |
Therefore there exists such that for a fixed there exists and , ,
and
(19) |
Let
(20) |
, . Define ,
Observe via the nonlocal isoperimetric inequality and the minimality,
Since as , it thus follows that , hence
Next, by the triangle inequality,
In particular,
as . Hence
(21) | ||||
(22) | ||||
(23) |
as . Next, by the sharp stability of the nonlocal isoperimetric inequality [FFM+15] or a compactness argument, there exist such that
(24) |
&
(25) |
as .
Therefore (24) and (25) yield such that
a contradiction to
thanks to (19). To finish, assume is a minimizer, , and define ,
Since
thus via subtracting
(26) |
Next (26) implies
(27) |
Therefore, since
thanks to (27) and the sharp quantitative nonlocal isoperimetric inequality one obtains
Now
(28) |
Observe this is valid for any minimizer , therefore for any minimizer with :
(29) |
Hence
(30) |
Set
thus via (30),
(31) |
∎
Remark 3.9.
The theorem may also be extended to with some assumptions via Lebesgue’s differentiation theorem.
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