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Pengcheng Xie

Publications and source records attributed to Pengcheng Xie.

At least 19 recordsLinked to original sources

EFQ-Softmax: Exp-Free Quantization for Softmax

Low-bit attention accelerates Transformer inference by moving the $QK^\top$ and $PV$ matrix multiplications to FP8 or FP4 matrix engines. However, the softmax path often evaluates shifted-score exponentials in higher precision, forms a temporary probability block, and quantizes it before low-bit $PV$ multiplication. This exp-then-quantize path creates a mismatch between a high-precision probability producer and a low-bit matrix consumer. We propose EFQ-Softmax (Exp-Free Quantization for Softmax), a low-bit probability-generation method that directly maps shifted attention scores to block-scaled E2M1 operands. For each microscaling block, EFQ-Softmax selects an exponent-only scale from the local maximum, maps the shifted scores to a normalized residual domain, and generates nonnegative E2M1 probability codes using a single affine rule. The resulting operand is used consistently in both the $\widetilde{P}V$ numerator update and the $\widetilde{P}\mathbf{1}$ denominator update. The FlashAttention-style row-maximum update, historical rescaling, high-precision accumulation, and final normalization remain unchanged. We evaluate end-to-end quality on Qwen3-8B, Qwen3-VL-8B-Instruct, and WAN2.2-TI2V-5B, and separately measure kernel-level performance on the A5 vector unit. EFQ-Softmax improves the Qwen3-8B seven-task mean from 0.6749 with MXFP4 to 0.6773 and the Qwen3-VL nine-task mean from 0.7826 to 0.8000. On WAN2.2, it maintains temporal consistency and visual quality comparable to the FP16 and MXFP4 baselines under VBench. On the A5 vector unit, EFQ-Softmax reduces the vector-stage latency of the fused probability-generation kernel by 40.33% on average across sequence lengths from 16K to 128K. These results show that direct low-bit probability generation can replace the conventional exp-then-quantize path while preserving end-to-end model quality.

cs.LG

Derivative-Free Structured Updates for Muon

Muon updates matrix-valued neural-network parameters by orthogonalizing a gradient-based momentum matrix. Its reliance on derivatives limits its use when gradients are unavailable or unreliable. We develop a derivative-free framework that constructs Muon-style updates from structured finite differences. Four variants are considered: full entrywise recovery, random low-rank surrogates, basis-aligned rank-one probing, and direct structured search. Exhaustive basis-aligned probing is equivalent, up to positive scaling before ideal polar orthogonalization, to coordinate finite differences. Matrix-regression experiments show that random rank-one probing can reduce the number of function evaluations substantially, at the cost of less accurate updates. Controlled noisy-gradient experiments on regression and a neural network illustrate when accurate function values can compensate for an unreliable gradient oracle. A small CartPole study further examines orthogonal rank-one probes under a fixed episode budget. These results support structured probing as a practical option for selected black-box problems; they do not establish a general convergence guarantee or an advantage over accurate, inexpensive gradients.

math.OC

TOBYQA: A Time-Augmented Model-Based Method for Derivative-Free Optimization under Noise and Temporal Drift

Derivative-free optimization (DFO) is challenging when the observation channel varies over time and evaluations are noisy. Conventional model-based methods assume stationary observations; under temporal drift, historical data biases gradient estimates and acceptance tests confound latent-objective decrease with temporal variation. We propose TOBYQA (Time-augmented Optimization BY Quadratic Approximation), a regularized model-based DFO framework that jointly incorporates spatial geometry and temporal variations within a single saddle-point interpolation system. TOBYQA augments the classical least-Frobenius-norm quadratic interpolation system with a linear-in-time drift term and a ridge regularization on the residual kernel, which accommodates noise and ensures well-posedness when the constraint block has full column rank, relaxing the geometric poisedness requirements of classical interpolation. We prove that under affine temporal drift, the recovered gradient is algebraically invariant to the drift rate for any noise scale and sample radius. This property leads to a drift-compensated acceptance test that subtracts the estimated temporal component from the observed reduction. Driven by an adaptive cubic regularization scheme with a closed-form step and a geometry-guarded statistical stationarity stopping rule, TOBYQA achieves an expected oracle complexity of $O(\varepsilon^{-2})$. Benchmark evaluations across diverse temporal drift regimes show that, at tolerance $τ=10^{-3}$, TOBYQA solves 71.0%, 60.8%, and 41.9% of instances at $n=6$, $10$, and $20$, respectively, compared with 25.1%, 18.5%, and 14.9% for the best-performing comparison method. These results demonstrate higher solve rates under temporal drift while retaining comparable performance in static environments.

math.OC

MpSub: A Momentum $p$-Dimensional Subspace Trust-Region Method for Derivative-Free Fine-Tuning of Large Language Models

Full-parameter fine-tuning of large language models has substantial memory costs because backpropagation stores activations and gradients. Zeroth-order optimization avoids this by estimating update directions from loss evaluations, but existing methods require tuning a sensitive learning rate for each model and task. We propose the momentum $p$-dimensional subspace trust-region method (MpSub). At each iteration, MpSub searches within a $p$-dimensional subspace: one direction preserves historical momentum from the most recent accepted step, while the remaining directions explore via fresh random sampling. The subspace gradient is estimated by central differences, a trial step is computed from a linear trust-region model, and the trust-region radius adapts according to the agreement between predicted and observed loss reduction, eliminating the learning rate. For LLM fine-tuning, evaluations within an iteration share a minibatch, and directions are regenerated in place from seeds, using forward passes alone. For smooth deterministic objectives under unorthogonalized Gaussian directions, we bound the finite-difference error, quantify gradient energy captured by the subspace, and prove that $\lim_{k\to\infty} \|\nabla f(x_k)\|_2 = 0$ almost surely under a safeguarded radius update. Under a matched budget of 8,400 training-objective forward passes, we fine-tune OPT-125M and OPT-350M on CommitmentBank. With the same preset parameters at both model sizes, MpSub attains mean test accuracies of 0.673 and 0.690 over three seeds, matching tuned MeZO (0.685) without any learning-rate search.

cs.LG

Why and When Neural Networks Improve Local Approximation in Optimization

Published experience with neural surrogates in derivative-free optimisation is contradictory: the same family of models that cuts the evaluation count of one solver leaves another unchanged, or makes it worse. We show that the contradiction dissolves once three factors are stated, and that these, rather than the fit accuracy a training curve reports, are what delimit when a learned local model pays. Role: a surrogate that proposes candidates the true objective must still approve helps, while one that replaces a gradient the solver depends on hurts. Radius: a model fitted to an optimisation path is reliable only inside a bounded neighbourhood, and its error neither vanishes as that neighbourhood shrinks nor survives its growth. Room: a surrogate can only accelerate progress the base method is still able to make. We formalise radius-aware local generalisation, relate it to the classical fully linear condition, and test each factor with the surrogate class, training pipeline and base method held fixed. Over 117 benchmark instances safeguarded assistance raises the instances solved to high accuracy from 67 to 84 while gradient replacement lowers them to 65; removing the gradient term from the training loss cuts surrogate acceptance from 0.703 to 0.148; and 1000 paired comparisons over ten noise levels show no noise threshold, only a base method that stops early. The same factors bound the gain: a model-based trust-region solver, which leaves little room, drops from 88 to 86 when the identical surrogate is attached, and released interpolation software stays ahead at 103, and on a Monte-Carlo inventory model repairing the acceptance interface is worth 10.40 cost units against 0.00 for the surrogate.

cs.LG

Parallel Model-Based Derivative-Free Optimization via Rank-Two KKT Updates

Derivative-free optimization (DFO) addresses unconstrained problems $\min_{\x\in\RR^n} f(\x)$ where $f$ is accessed only through a zeroth-order oracle. Model-based trust-region methods construct underdetermined quadratic interpolation models from $\mathcal{O}(n)$ points and solve a KKT system to determine model parameters, costing $\mathcal{O}(m^3)$ operations and limiting parallel scalability. It is shown that the KKT matrix for the minimum Frobenius norm updating model depends entirely on inner products of shifted coordinates. Reflecting the interpolation set across a single coordinate axis preserves these inner products and changes only one row and column of the KKT matrix, inducing a rank-at-most-two perturbation whose inverse update via the Sherman-Morrison-Woodbury formula costs $\mathcal{O}(n^2)$ when $m=\mathcal{O}(n)$. The reflection is an isometry in centered Euclidean trust regions and preserves the poisedness constant of the interpolation set; together with standard fully linear model-management assumptions this supports first-order global convergence. The mechanism is embedded in a master-worker parallel algorithm with a Truncated Conjugate Gradient subproblem solver. Numerical results on 530 benchmark problems compare performance against an established DFO solver.

math.OC

BiSCo-LLM: Lookup-Free Binary Spherical Coding for Extreme Low-Bit Large Language Model Compression

Large language models (LLMs) are increasingly constrained by memory capacity, weight bandwidth, and checkpoint storage during deployment. Existing low-bit compression methods mainly follow two directions. Scalar or group-wise quantization is simple and compatible with efficient low-precision kernels, but its representation capacity becomes limited when the target budget approaches 2 bits per weight. Vector-quantized weight compression provides a richer block-level representation, but usually introduces explicit codebooks, index lookup, and additional storage accounting. This paper presents BiSCo-LLM, a codebook-free binary spherical coding framework for extreme low-bit LLM weight compression. The core pipeline is built on three components. First, local weight chunks are mapped onto a unit hypersphere and binarized into compact spherical codes, so that the main payload is a bit-packed sign stream rather than explicit VQ centroids. Second, a residual BSQ stage encodes the reconstruction error left by the base spherical codec, providing an explicit rate-distortion path without stored codebooks. Third, category-wise recovery distillation is performed after replacing each Transformer module category, reducing the mismatch between local weight reconstruction and assembled model behavior. A small 8-bit protected-channel path is used as an auxiliary stabilization mechanism for sensitive channels and is counted separately from the BSQ payload. The reported storage budget includes binary codes, neural decoders, protected-channel payloads, LoRA adapters, and metadata.

cs.LG

Second-order $H^1$-norm error analysis for time-fractional advection-dispersion equations based on the fast averaged L1 method

In this paper, based on the fast averaged L1 method, we present an error analysis for time-fractional advection-dispersion equations with a weak singularity at the initial time. An integrating-factor transformation is introduced to convert the tempered fractional derivative into the standard Caputo derivative, which is more suitable for discretization using the fast averaged L1 method. A sum-of-exponentials approximation is then incorporated into the averaged L1 method to reduce computational cost and storage while preserving the desired accuracy. By deriving error estimates for the discrete coefficients and the accumulated truncation errors, we establish the stability and $H^1$-norm convergence analysis, with a convergence order higher than those in the published literature. Numerical examples are tested to validate our theoretical results. The effects of the fractional parameters $α$ and $λ$ on the solution are discussed. The memory effect and long-time tail phenomenon, which are known to exist in real systems yet cannot be captured by classical integer-order equations, are again found in the current fractional case.

math.NA

BUP-TR: Bayesian Underdetermined Projection Trust-Region Methods for Derivative-Free Optimization

Underdetermined quadratic interpolation is a central model-construction tool in model-based derivative-free trust-region methods: it limits sampling costs but leaves an affine family of interpolating quadratics. Classical solvers select one element of this family by prescribing a fixed norm or model-change measure, such as the least-Frobenius-change Hessian update in Powell-type methods. We introduce BUP-TR (Bayesian Underdetermined Projection Trust-Region), which instead completes the model by projecting a prior quadratic onto the affine interpolation set in the precision norm supplied by the prior. The same precision matrix defines a spectral geometry certificate, MAP-poisedness, and a repair mechanism for interpolation sets. Under standard smoothness assumptions, uniform precision bounds, MAP-poisedness, and a trust-region-scale prior-accuracy condition, the hard-MAP models are fully linear. Consequently, BUP-TR attains global first-order convergence and O(epsilon^{-2}) evaluation complexity, with geometry-repair evaluations included. A NEWUOA-style implementation, BUP-NEWUOA, improves fixed-budget performance on the reported benchmark suite at moderate and stringent accuracy targets while retaining the computational structure of a Powell-type trust-region method.

math.OC

MATRO: Metric-Aware Trust-Region Optimization with Fully Quadratic Models

Model-based derivative-free trust-region methods build local interpolation models and restrict trial steps to regions where those models are reliable. This paper studies the shape of that region. When an objective is poorly scaled or locally anisotropic, a Euclidean ball can be governed by the steepest local direction and can restrict progress along directions of slow variation. We propose MATRO (Metric-Aware Trust-Region Optimization), a fully quadratic interpolation framework in which the trust region is the ellipsoid s^T M_k s <= Delta_k^2. For any positive definite metric M_k, the induced variable y = M_k^{1/2}s converts the ellipsoidal subproblem into a standard Euclidean trust-region subproblem, so model decrease, ratio tests, radius updates, poisedness, and fully quadratic error bounds can be stated in induced coordinates under a uniform metric contract. The metric is selected from the interpolation Hessian: positive definite quadratics yield a unique volume-normalized curvature metric that isotropizes the induced Hessian and gives a truncated Newton step, while indefinite fitted Hessians motivate an absolute-curvature metric that balances curvature magnitudes without changing curvature signs. Under the standard fully quadratic assumptions and the metric contract, MATRO retains the first-order evaluation-complexity order O(n^2 epsilon^{-2}). Experiments on More-Wild benchmarks, controlled anisotropy tests, and two-dimensional trajectories show that curvature-shaped regions are most effective when the interpolation Hessian captures stable local anisotropy, while dense linear algebra is most visible at loose accuracies or on inexpensive analytic tests.

math.OC

Distributed Gradient-Regularized Newton Method: Scheduled Consensus and O(epsilon^{-1}) Global Iteration Complexity

We propose DisGrem, a fully decentralized second-order method for convex consensus optimization over networks. Each agent solves a local Newton system with vanishing gradient-norm regularization and an eigenvalue-shift stabilizer, communicating through a two-stage gossip-mixing mechanism. We introduce a reference-step framework that reduces the network-wide update to an inexact centralized regularized Newton step, replacing the static Hessian-heterogeneity assumptions of prior work with an increment-based dispersion analysis that imposes no irreducible accuracy floor. Under a bounded-iterates assumption, after a burn-in phase whose order is controlled by the scheduled consensus accuracy, the post-burn-in phase achieves an O(epsilon^{-1}) iteration complexity for driving the gradient norm below epsilon, matching the centralized regularized Newton rate without line search or stepsize tuning. For a logarithmic schedule with p >= 3, the total iteration complexity remains O(epsilon^{-1}). For a fixed connected network, this yields O(epsilon^{-1} log(1/epsilon)) neighbor communication rounds, with explicit spectral-gap dependence O((1-rho)^{-1} epsilon^{-1} log(1/epsilon)) as rho approaches 1. Under strong convexity and a relative tracking-accuracy condition, we further establish conditional local superlinear convergence of order 3/2. In our nine-problem benchmark suite, the DisGrem family attains relF <= 10^{-6} on every test instance, while the tested baselines stagnate or diverge on at least one problem.

math.OC

Low-Rank KKT Updates and a Parallel Flipping Mechanism for Model-Based Derivative-Free Optimization

Model-based derivative-free optimization relies on quadratic interpolation, but maintaining these models typically requires $\mathcal{O}(m^3)$ linear system solves. We show that for the least Frobenius norm updating model, the associated KKT matrix possesses a fixed inner-product structure. Both single-point replacements and a proposed coordinate-axis flipping operation induce exact Rank-2 perturbations to this matrix. Using this structure, we derive an $\mathcal{O}(n^2)$ update formula for the KKT inverse, eliminating costly refactorizations at each iteration. We integrate the update into a parallel trust-region algorithm where workers independently flip interpolation axes, refresh local models, and synchronize the best configuration. Tests on 530 benchmark problems show the method reduces model-maintenance overhead and achieves higher success rates under tight function-evaluation budgets compared to standard solvers.

math.OC

Privacy-Preserving Black-Box Optimization (PBBO): Theory and the Model-Based Algorithm DFOp

This paper focuses on solving unconstrained privacy-preserving black-box optimization (PBBO), its corresponding least Frobenius norm updating of quadratic models, and the differentially privacy mechanisms for PBBO. Optimization problems with transformed/encrypted objective functions aim to minimize F(x), which is encrypted/transformed/encrypted to F_k(x) as the output at the k-th iteration. A new derivative-free solver named DFOp, with its implementation, is proposed in this paper, which has a new updating formula for the quadratic model functions. The convergence of DFOp for solving problems with transformed/encrypted objective functions is given. Other analyses, including the new model updating formula and the analysis of the transformation's impact to model functions are presented. We propose two differentially private noise-adding mechanisms for privacy-preserving black-box optimization. Numerical results show that DFOp performs better than compared algorithms. To the best of our knowledge, DFOp is the first derivative-free solver that can solve black-box optimization problems with step-encryption and privacy-preserving black-box problems exactly, which also tries to answer the open question about the combination of derivative-free optimization and privacy.

cs.CR

Model-Driven Subspaces for Large-Scale Optimization with Local Approximation Strategy

Solving large-scale optimization problems is a bottleneck and is very important for machine learning and multiple kinds of scientific problems. Subspace-based methods using the local approximation strategy are one of the most important methods. This paper discusses different and novel kinds of advanced subspaces for such methods and presents a new algorithm with such subspaces, called MD-LAMBO. Theoretical analysis including the subspaces' properties, sufficient function value decrease, and global convergence is given for the new algorithm. The related model construction on the subspaces is given under derivative-free settings. In numerical results, performance profiles, and truncated Newton step errors of MD-LAMBO using different model-driven subspaces are provided, which show subspace-dependent numerical differences and advantages of our methods and subspaces.

math.OC

Objective Value Change and Shape-Based Accelerated Optimization for the Neural Network Approximation

This paper introduce a novel metric of an objective function f, we say VC (value change) to measure the difficulty and approximation affection when conducting an neural network approximation task, and it numerically supports characterizing the local performance and behavior of neural network approximation. Neural networks often suffer from unpredictable local performance, which can hinder their reliability in critical applications. VC addresses this issue by providing a quantifiable measure of local value changes in network behavior, offering insights into the stability and performance for achieving the neural-network approximation. We investigate some fundamental theoretical properties of VC and identified two intriguing phenomena in neural network approximation: the VC-tendency and the minority-tendency. These trends respectively characterize how pointwise errors evolve in relation to the distribution of VC during the approximation process.In addition, we propose a novel metric based on VC, which measures the distance between two functions from the perspective of variation. Building upon this metric, we further propose a new preprocessing framework for neural network approximation. Numerical results including the real-world experiment and the PDE-related scientific problem support our discovery and pre-processing acceleration method.

cs.LG

Amber Pruner: Leveraging N:M Activation Sparsity for Efficient Prefill in Large Language Models

In the era of large language models (LLMs), N:M sparsity has emerged as a structured compression technique critical for accelerating inference. While prior work has primarily focused on weight sparsity, it often suffers from significant accuracy degradation. Activation sparsity, though promising, is typically training-dependent and faces challenges in generalization. To address these limitations, we introduce Amber Pruner, a training-free N:M activation sparsity method designed specifically for the prefill stage, targeting the acceleration of linear projection layers in LLMs. Extensive experiments across multiple models and sparsity ratios (2:4, 4:8, and 8:16) demonstrate that Amber Pruner can effectively sparsify and accelerate more than 55% of linear computations without requiring model retraining. To further enhance generality and efficiency, we propose Outstanding-sparse, a unified framework that integrates Amber Pruner with post-training W8A8 quantization. Our approach preserves strong performance across a range of downstream tasks, with notable advantages in generative tasks. This work pioneers a new frontier in activation sparsity, providing foundational insights that are poised to guide the co-evolution of algorithms and architectures in the design of next-generation AI systems.

cs.LG

A spectral Levenberg-Marquardt-Deflation method for multiple solutions of semilinear elliptic systems

Many nonlinear differential equations arising from practical problems may permit nontrivial multiple solutions relevant to applications, and these multiple solutions are helpful to deeply understand these practical problems and to improve some applications. Developing an efficient numerical method for finding multiple solutions is very necessary due to the nonlinearity and multiple solutions of these equations. Moreover, providing an efficient iteration plays an important role in successfully obtaining multiple solutions with fast and stable convergence. In the current paper, an efficient algorithm for finding multiple solutions of semilinear elliptic systems is proposed, where the trust region Levenberg-Marquardt method is firstly used to iterate the resulted nonlinear algebraic system. When the nonlinear term in these equations has only the first derivative, our algorithm can efficiently find multiple solutions as well. Several numerical experiments are tested to show the efficiency of our algorithm, and some solutions which have not been shown in the literature are also found and shown.

math.OC

An Improved Adaptive Orthogonal Basis Deflation Method for Multiple Solutions with Applications to Nonlinear Elliptic Equations in Varying Domains

Multiple solutions are common in various non-convex problems arising from industrial and scientific computing. Nonetheless, understanding the nontrivial solutions' qualitative properties seems limited, partially due to the lack of efficient and reliable numerical methods. In this paper, we design a dedicated numerical method to explore these nontrivial solutions further. We first design an improved adaptive orthogonal basis deflation method by combining the adaptive orthogonal basis method with a bisection-deflation algorithm. We then apply the proposed new method to study the impact of domain changes on multiple solutions of certain nonlinear elliptic equations. When the domain varies from a circular disk to an elliptical disk, the corresponding functional value changes dramatically for some particular solutions, which indicates that these nontrivial solutions in the circular domain may become unstable in the elliptical domain. Moreover, several theoretical results on multiple solutions in existing literature are verified. For the nonlinear Sine-Gordon equation with parameter $λ$, nontrivial solutions are found for $λ> λ_2$, here $λ_2$ is the second eigenvalue of the corresponding linear eigenvalue problem. For the singularly perturbed Ginzburg-Landau equation, highly concentrated solutions are numerically found which suggests that their convergent limit is a delta function when the perturbation parameter goes to zero

math.NA