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Alvaro Herráez

Publications and source records attributed to Alvaro Herráez.

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Black Hole-Tower Correspondence: Species backreaction in minimal black hole limits

The Black Hole-String Correspondence identifies the microstates of a minimal black hole with those of a highly excited string. In decompactification limits, where the light states are Kaluza--Klein modes, its proposed counterpart is the Black Hole-Tower Correspondence at the species scale. We extend it in three directions. First, we expand the free thermodynamic analysis to include towers with string-oscillators and Kaluza--Klein modes, and clarify whether the ensemble connects to a $d$-dimensional black hole or a wrapped black string. Second, we include gravitational backreaction in the pure Kaluza--Klein tower transition. With no winding-tachyon analogue, the interpolating configuration is the one-loop Kaluza--Klein gas, which reorganizes into higher-dimensional radiation and yields self-gravitating solutions whose instability points to the black string and whose thermodynamics match it at the correspondence point, $S\sim N_{\rm sp}$, where the size approaches the species length. This shows that the matching is robust under self-interactions. Third, we ask whether the two phases are continuously connected, revisiting and extending the worldsheet and topological analyses of the Black Hole-String case to include also Kaluza--Klein towers. Linear sigma model families interpolate smoothly in the heterotic string, while in type II the transition is obstructed. The cobordism classes of the two saddles agree in every structure we check, but their brane-charge lattices, given by bordism groups, differ, which is the source of the type II obstruction. This obstruction is thus perturbative, showing that the transition can only proceed through the non-perturbative, charge-violating processes of the kind predicted by the Cobordism Conjecture.

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Integral Scaling for EFT Strings from the Bottom-Up

Near the core of an EFT string in a 4d $\mathcal{N}=1$ theory, the scalars are dynamically driven to infinite field distance and a tower of states becomes light, with mass scaling with the string tension in Planck units as $m^2\sim \mathcal{T}^{\,w}$. According to the Integral Scaling Conjecture, $w$ takes only values 1, 2 and 3. In this paper, we examine how this conjecture can follow from the brane-taxonomy rules associated with the Emergent String Conjecture. In this context, we classify the relevant types of duality frames into 74 classes, identify which lattice sites can be relevant EFT candidates, and exhaustively test integral scaling for all of these candidates. We find that it holds with $w\leq 3$ for all the leading towers and also for the subleading towers below the species scale (up to half-integral subtleties that also appear in top-down examples). We further find evidence that the oscillator modes of EFT string candidates generate the lattices of particles and strings. Moreover, $w=1$ implies a perturbative string limit, but the converse is not true. We compare our classification with concrete type IIA, F-theory and M-theory compactifications.

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End-of-the-World Singularities: The Good, the Bad, and the Heated-up

We revisit codimension-one End-of-the-World curvature singularities that drive scalars to infinite distance in field-space and have appeared in the context of dynamical cobordisms. We confront them with Gubser's horizon and potential criteria and with the Maldacena--Nuñez criterion. Moduli-space flows do not admit a near-extremal horizon generalization. Still, they satisfy Gubser's potential criterion and, in representative string realizations, the Maldacena--Nuñez criterion in ten dimensions. Together with an explicit uplift of this type of solution to a consistent string theory background, this suggests that such singularities should not be discarded. For flows with non-trivial scalar potential, we argue that the fate of the singularity is tied to the infinite-distance limit probed near the singularity. The Klebanov--Tseytlin and Klebanov--Strassler solutions illustrate that a modification that obstructs or modifies the field excursion should not be understood as a UV-resolution of the original singularity. We show that EFT strings and D7-branes fail Gubser's potential criterion despite having a sensible UV completion. Motivated by this, and inspired by dynamical cobordisms, we propose a novel criterion that bounds the divergence of the Ricci scalar as the flow explores infinite distance in field-space. Our criterion can be viewed as a geometrization Gubser's one that, while capturing all examples accepted by the latter, also admits EFT strings and D7-branes. Both criteria reject the massive Type IIA strong coupling End-of-the-World singularity. Finally, we analyze black D$p$-branes reduced to codimension one as representatives of flows that admit near-extremal generalizations, and find an exponential relation between temperature and field-space distance. This suggests a finite-temperature extension of the Distance Conjecture for dynamical cobordisms.

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A short overview on the Black Hole-Tower Correspondence and Species Thermodynamics

The breakdown of gravitational effective field theories is intimately connected to the emergence of infinite towers of light states near infinite-distance limits in field space. In string theory, up to duality frame, such towers arise from Kaluza-Klein or weakly-coupled critical string oscillator modes. Motivated by the Black Hole-String Correspondence, we review a broader mechanism whereby black holes undergo a transition into a tower of light states, governed by the Quantum Gravity cutoff -- known as the Species Scale. Building on these developments, the Black Hole-Tower correspondence aims to provide a unified thermodynamic framework that describes black hole entropy in terms of the spectrum of the lightest degrees of freedom across various perturbative regimes of quantum gravity theories. In those regimes, thermodynamic consistency of such transition imposes stringent constraints on the spectrum, in agreement with string theory predictions. This defines the basis of the so-called Species Thermodynamics. In this review, we emphasize these recent advances and synthesize their implications, offering an overview of how the outlined correspondence, the species scale and related thermodynamic principles enhance our understanding of black hole entropy within the effective field theory framework.

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On the Origin of Species Thermodynamics and the Black Hole - Tower Correspondence

Species thermodynamics has been proposed in analogy to black hole thermodynamics. The entropy scales like an area and is given by the mere counting of the number of the species. In this work, we $\textit{derive}$ the constitutive relations of species thermodynamics and explain how those $\textit{originate}$ from standard thermodynamics. We consider configurations of species in thermal equilibrium inside a box of size $L$, and show that the temperature $T$ of the system, which plays a crucial role, is always upper bounded above by the species scale $Λ_{\rm sp}$. We highlight three relevant regimes: (i) when $L^{-1}< T<Λ_{\rm sp}$, and gravitational collapse is avoided, the system exhibits standard thermodynamics features, for example, with the entropy scaling like the volume of the box; (ii) in the limit $L^{-1}\simeq T\rightarrow Λ_{\rm sp}$ we recover the rules of species thermodynamics with the entropy scaling like the area of the box; (iii) an intermediate regime with $ L^{-1}\simeq T< Λ_{\rm sp}$ that avoids gravitational collapse and fulfills the Covariant Entropy Bound; this interpolates between the previous two regimes and its entropy is given simply in terms of the counting of the species contributing to the thermodynamic ensemble. This study also allows us to find a novel and independent bottom-up rationale for the Emergent String Conjecture. Finally, we present the $\textit{Black Hole - Tower Correspondence}$ as a generalization of the celebrated Black Hole - String Correspondence. This provides us with a robust framework to interpret the results of our thermodynamic investigation. Moreover, it allows us to qualitatively account for the entropy of black holes in terms of the degrees of freedom of the weakly coupled species in the tower.

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Black Hole Transitions, AdS and the Distance Conjecture

In this work, we investigate the connection between black hole instabilities and Swampland constraints, presenting new insights into the AdS Distance Conjecture. By examining the scale at which horizon instabilities of Schwarzschild-AdS$_d$ black holes take place$-Λ_{\mathrm{BH}}-$we uncover a universal scaling relation, $Λ_{\mathrm{BH}}\sim |Λ_{\mathrm{AdS}}|^α$, with $\frac{1}{d}\leq α\leq \frac{1}{2}$, linking the emergence of towers of states directly to instability scales as $Λ_{\mathrm{AdS}}\to 0$. This approach circumvents the explicit dependence on field-space distances, offering a refined formulation of the AdS Distance Conjecture grounded in physical black hole scales. From a top-down perspective, we find that these instability scales correspond precisely to the Gregory-Laflamme and Horowitz-Polchinski transitions, as expected for the flat space limit, and consistently with our proposed bounds. Furthermore, revisiting explicit calculations in type IIB string theory on AdS$_5\times S^5$, we illustrate how higher-derivative corrections may alter these bounds, potentially extending their applicability towards the interior of moduli space. Using also general results about gravitational collapse in AdS, our analysis points towards a possible breakdown of the conjecture in $d>10$, suggesting an intriguing upper limit on the number of non-compact spacetime dimensions. Finally, we briefly discuss parallel considerations and implications for the dS case.

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The Double EFT Expansion in Quantum Gravity

In this work, we aim to characterize the structure of higher-derivative corrections within low-energy Effective Field Theories (EFTs) arising from a UV-complete theory of quantum gravity. To this end, we use string theory as a laboratory and argue that such EFTs should exhibit a $\textit{double EFT expansion}$ involving higher-curvature operators. The $\textit{field-theoretic}$ expansion is governed by the mass of the lightest (tower of) new degrees of freedom, as expected from standard field theory considerations. Conversely, the $\textit{quantum-gravitational}$ expansion is suppressed relative to the Einstein-Hilbert term by the quantum gravity cutoff, $Λ_{\rm QG}$, above which no local gravitational EFT description remains valid. This structure becomes manifest in the so-called $\textit{asymptotic regime}$, where a hierarchy between the Planck scale and $Λ_{\rm QG}$ emerges, the latter identified herein as the species scale. Most notably, we demonstrate the features of the double EFT expansion through an amplitudes-based approach in (toroidal compactifications of) ten-dimensional Type IIA string theory, and via a detailed analysis of the supersymmetric black hole entropy in 4d $\mathcal{N}=2$ supergravities derived from Type II Calabi-Yau compactifications. We provide further evidence for our proposal across various string theory setups, including Calabi-Yau compactifications of M/F-theory and Type II string theory. Finally, we explore the implications of this framework for the Wilson coefficients of the aforementioned higher-curvature operators, revealing potentially significant constraints in the asymptotic regime and highlighting a remarkable interplay with recent results from the S-matrix bootstrap program.

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On the Species Scale, Modular Invariance and the Gravitational EFT expansion

The concept of the species scale as the quantum gravity cut-off has been recently emphasised in the context of the Swampland program. Along these lines, we continue the quest for a precise understanding of its role within effective field theories of gravity as well as a global definition of the latter in case there is enough supersymmetry preserved. To do so, we exploit duality symmetries, the familiar asymptotic dependence imposed by the presence of infinite towers of light states and the known behaviour of higher-curvature corrections to the Einstein-Hilbert action in various String Theory setups. In those cases, we obtain a self-consistent result for the identification of the species scale as the quantum gravity cut-off, but also present some puzzles related to the suppression of certain higher-dimensional operators as well as minor ambiguities that may arise in the deep interior of moduli space.

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Entropy Bounds and the Species Scale Distance Conjecture

The Swampland Distance Conjecture (SDC) states that, as we move towards an infinite distance point in moduli space, a tower of states becomes exponentially light with the geodesic distance in any consistent theory of Quantum Gravity. Although this fact has been tested in large sets of examples, it is fair to say that a bottom-up justification that explains both the geodesic requirement and the exponential behavior has been missing so far. In the present paper we address this issue by making use of the Covariant Entropy Bound as applied to the EFT. When applied to backgrounds of the Dynamical Cobordism type in theories with a moduli space, we are able to recover these main features of the SDC. Moreover, this naturally leads to universal lower and upper bounds on the 'decay rate' parameter $λ_{\text{sp}}$ of the species scale, that we propose as a convex hull condition under the name of Species Scale Distance Conjecture (SSDC). This is in contrast to already proposed universal bounds, that apply to the SDC parameter of the lightest tower. We also extend the analysis to the case in which asymptotically exponential potentials are present, finding a nice interplay with the asymptotic de Sitter conjecture. To test the SSDC, we study the convex hull that encodes the (asymptotic) moduli dependence of the species scale. In this way, we show that the SSDC is the strongest bound on the species scale exponential rate which is preserved under dimensional reduction and we verify it in M-theory toroidal compactifications.

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The Emergence Proposal in Quantum Gravity and the Species Scale

In the Emergence Proposal in QG it is conjectured that all light-particle kinetic terms are absent in the fundamental UV theory and are generated by quantum corrections in the IR. It has been argued that this may provide for some microscopic understanding of the WGC and SDC. In the present paper we take the first steps towards a systematic study of Emergence in the context of string theory. We emphasize the crucial role of the species scale in any EFT coupled to gravity, and discuss its computation in string theory and general systems with light towers of states. We then introduce the notion of Emergence and show how kinetic terms for moduli, gauge bosons and fermions may be generated. One-loop computations play an important role in Emergence, so we present detailed calculations in $d$ spacetime dimensions for the wave-function renormalization of scalars, vectors and fermions. We extend and check the Emergence Proposal in a number string vacua, including 4d $\mathcal{N}=2$ theories arising from type IIA on a CY$_3$, where the towers at strong coupling are comprised by D0 and (wrapped) D2-branes, and also elaborate on how instanton corrections would fit within the emergence picture. Higher dimensional examples are also discussed, including 6d and 7d models arising from F-/M-theory on an elliptic CY$_3$ or a $K3$ surface. We also consider 10d string theories and study in some detail the emergence mechanism in type IIA. We show as well how the flux potential in 4d may be obtained from the emergence prescription, by analyzing the corresponding decompactification limits to M-theory. We find that the required kinetic terms for the dual 3-form fields can arise upon integrating out towers of massive gravitini (and bosonic superpartners). Our analysis renders support to the Emergence Proposal, and to the idea that infinite distance singularities may arise in QG as an intrinsic IR phenomenon.

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Affine Algebras at Infinite Distance Limits in the Heterotic String

We analyze the boundaries of the moduli spaces of compactifications of the heterotic string on $T^d$, making particular emphasis on $d=2$ and its F-theory dual. We compute the OPE algebras as we approach all the infinite distance limits that correspond to (possibly partial) decompactification limits in some dual frame. When decompactifying $k$ directions, we find infinite towers of states becoming light that enhance the algebra arising at a given point in the moduli space of the $T^{d-k}$ compactification to its $k$-loop version, where the central extensions are given by the $k$ KK vectors. For $T^2$ compactifications, we reproduce all the affine algebras that arise in the F-theory dual, and show all the towers explicitly, including some that are not manifest in the F-theory counterparts. Furthermore, we construct the affine $SO(32)$ algebra arising in the full decompactification limit, both in the heterotic and in the F-theory sides, showing that not only affine algebras of exceptional type arise in the latter.

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IR/UV Mixing, Towers of Species and Swampland Conjectures

By applying the Covariant Entropy Bound (CEB) to an EFT in a box of size $1/Λ_{\text{IR}}$ one obtains that the UV and IR cut-offs of the EFT are necessarily correlated. We argue that in a theory of Quantum Gravity (QG) one should identify the UV cutoff with the `species scale', and give a general algorithm to calculate it in the case of multiple towers becoming light. One then obtains an upper bound on the characteristic mass scale of the tower in terms of the IR cut-off, given by $M_{\text{tower}}\lesssim (Λ_{\text{IR}})^{2α_D}$ in Planck units, with $α_D=(D-2+p)/2p(D-1)$, where $p$ depends on the density of states. Identifying the IR cut-off with a (non-vanishing) curvature in AdS one reproduces the statement of the AdS Distance Conjecture (ADC), also giving an explicit lower bound for the $α$ exponent. In particular, we find that the CEB implies $α\geq1/2$ in any dimension if there is a single KK tower, both in AdS and dS vacua. However values $α<1/2$ are allowed if the particle tower is multiple or has a string component. We also consider the CKN constraint coming from avoiding gravitational collapse which further requires in general $α\geq 1/D$ for the lightest tower. We analyse the case of the DGKT-CFI class of Type IIA orientifold models and show it has both particle and string towers below the species scale, so that a careful analysis of how the ADC is defined is needed. We find that this class of models obey but do not saturate the CEB. The UV/IR constraints found apply to both AdS and dS vacua. We comment on possible applications of these ideas to the dS Swampland conjecture as well as to the observed dS phase of the universe.

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$E_9$ symmetry in the Heterotic String on $S^1$ and the Weak Gravity Conjecture

We show that compactifications of the heterotic string on a circle exhibit at the boundary of moduli space ($R\to 0$, or equivalently the decompactification limit $R \to \infty$) a tower of winding or momentum modes that enhance the $E_8 \times E_8$ or $SO(32)$ gauge symmetry to the affine algebras $(E_9 \oplus E_9)/\sim$ (the identification means that the two copies of $E_9$ share the same central extension) and $\hat{D}_{16}$, respectively. We also prove that these towers of modes satisfy the lattice Weak Gravity and Repulsive Force Conjectures.

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The Swampland Conjectures: A bridge from Quantum Gravity to Particle Physics

The swampland is the set of seemingly consistent low-energy effective field theories that cannot be consistently coupled to quantum gravity. In this review we cover some of the conjectural properties that effective theories should possess in order not to fall in the swampland, and we give an overview of their main applications to particle physics. The latter include predictions on neutrino masses, bounds on the cosmological constant, the electroweak and QCD scales, the photon mass, the Higgs potential and some insights about supersymmetry.

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On scale separation in type II AdS flux vacua

We study the separation of AdS and Kaluza-Klein (KK) scales in type II 4d AdS orientifold vacua. We first address this problem in toroidal/orbifold type IIA vacua with metric fluxes, corresponding to compactifications in twisted tori, both from the 4d and 10d points of view. We show how the naive application of the effective 4d theory leads to results which violate the AdS distance conjecture, in a class of $\mathcal{N}=1$ supersymmetric models which have a 10d lifting to a compactification on $S^3\times S^3$. We show how using KK scales properly modified by the compact metric leads to no separation of scales with $M^2_{\text{KK}} = \mathfrak{c} |Λ|$, with $\mathfrak{c}$ a numerical constant independent of fluxes. This applies with no need to keep non-leading fluxes fixed. We also consider a class of IIB models with non-geometric fluxes in which the effective field theory analysisseems to lead to a naive separation of scales and a violation of the AdS distance conjecture. It has a T-dual which again may be understood as a 10d type IIA theory compactified on $S^3\times S^3$. In this geometric dual one again observes that the strong AdS distance conjecture is obeyed with $M^2_{\text{KK}} = \mathfrak{c}' |Λ|$, if one takes into account the curvature in the internal space. These findings seem to suggest that all toroidal/orbifold models with fluxes in this class obey $M^2_{\text{KK}} = \mathfrak{c} |Λ|$ with $\mathfrak{c}$ a flux-independent numerical constant.

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The Swampland Distance Conjecture and Towers of Tensionless Branes

The Swampland Distance Conjecture states that at infinite distance in the scalar moduli space an infinite tower of particles become exponentially massless. We study this issue in the context of 4d type IIA and type IIB Calabi-Yau compactifications. We find that for large moduli not only towers of particles but also domain walls and strings become tensionless. We study in detail the case of type IIA and IIB ${\cal N}=1$ CY orientifolds and show how for infinite Kähler and/or complex structure moduli towers of domain walls and strings become tensionless, depending on the particular direction in moduli space. For the type IIA case we construct the monodromy orbits of domain walls in detail. We study the structure of mass scales in these limits and find that these towers may occur at the same scale as the fundamental string scale or the KK scale making sometimes difficult an effective field theory description. The structure of IIA and IIB towers are consistent with mirror symmetry, as long as towers of exotic domain walls associated to non-geometric fluxes also appear. We briefly discuss the issue of emergence within this context and the possible implications for 4d vacua.

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AdS-phobia, the WGC, the Standard Model and Supersymmetry

It has been recently argued that an embedding of the SM into a consistent theory of quantum gravity may imply important constraints on the mass of the lightest neutrino and the cosmological constant $Λ_{4}$. The constraints come from imposing the absence of any non-SUSY AdS stable vacua obtained from any consistent compactification of the SM to 3 or 2 dimensions. This condition comes as a corollary of a recent extension of the Weak Gravity Conjecture (WGC) by Ooguri and Vafa. In this paper we study $T^2/Z_N$ compactifications of the SM to two dimensions in which SM Wilson lines are projected out, leading to a considerable simplification. We analyze in detail a $T^ 2/Z_4$ compactification of the SM in which both complex structure and Wilson line scalars are fixed and the potential is only a function of the area of the torus $a^2$. We find that the SM is not robust against the appearance of AdS vacua in 2D and hence would be by itself inconsistent with quantum gravity. On the contrary, if the SM is embedded at some scale $M_{SS}$ into a SUSY version like the MSSM, the AdS vacua present in the non-SUSY case disappear or become unstable. This means that WGC arguments favor a SUSY version of the SM, independently of the usual hierarchy problem arguments. In a $T^2/Z_4$ compactification in which the orbifold action is embedded into the $B-L$ symmetry the bounds on neutrino masses and the cosmological constant are recovered. This suggests that the MSSM should be extended with a $U(1)_{B-L}$ gauge group. In other families of vacua the spectrum of SUSY particles is further constrained in order to avoid the appearance of new AdS vacua or instabilities. We discuss a possible understanding of the little hierarchy problem in this context.

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