arXiv subjects

Xiaohua Zhou

Publications and source records attributed to Xiaohua Zhou.

At least 19 recordsLinked to original sources

arXiv2026

Two-Layer Microwave Linear Analog Computer (MiLAC)-aided Multi-user MISO Networks

Microwave linear analog computer (MiLAC)-aided transmit beamforming, which processes transmitted symbols entirely in the analog domain, has recently emerged as a promising alternative to fully digital or hybrid beamforming architectures for single-user multi-antenna systems. However, recent studies have shown that deploying a single lossless and reciprocal MiLAC at the transmitter cannot achieve the same capacity as fully digital beamforming in multi-user scenarios. To address this limitation, we propose a novel two-layer MiLAC-aided beamforming architecture at the transmitter for a downlink multi-user multiple-input single-output (MISO) network. Leveraging microwave network theory, we first prove that lossless and reciprocal two-layer MiLAC-aided beamforming can achieve the same performance as digital beamforming, and we derive a closed-form mapping from digital beamforming to two-layer MiLAC analog beamforming. Furthermore, we formulate a sum-rate maximization problem and develop an efficient optimization framework to jointly optimize the power allocation and the scattering matrices for the proposed two-layer MiLAC architecture. Numerical results validate our theoretical findings and demonstrate that two-layer MiLAC achieves the same sum-rate performance as fully digital beamforming.

eess.SP↗

arXiv2026

On the Performance of Lossless Reciprocal MiLAC Architectures in Multi-User Networks

Microwave linear analog computer (MiLAC)-aided beamforming, which processes the transmitted symbols fully in the analog domain, has recently emerged as a promising alternative to fully digital and hybrid beamforming architectures for multiple-input multiple-output (MIMO) systems. While prior studies have shown that lossless and reciprocal MiLAC can achieve the same capacity as digital beamforming in a single-user MIMO network, its performance in multi-user scenarios remains unknown. To answer this question, in this work, we establish a downlink multi-user multiple-input single-output (MU-MISO) network with a MiLAC-aided transmitter, and investigate its sum-rate performance. Based on the microwave network theory, we first prove that lossless and reciprocal MiLAC cannot achieve the same performance as digital beamforming in a general MU-MISO network. Then, we formulate a sum-rate maximization problem and develop an efficient optimization framework to jointly optimize the power allocation and the scattering matrix for MiLAC. Numerical results validate our theoretical analysis and demonstrate that MiLAC is a promising architecture for future extremely large-scale MIMO systems.

eess.SP↗

arXiv2025

Generalized Beyond-Diagonal RIS Architectures: Theory and Design via Structure-oriented Symmetric Unitary Projection

Beyond-diagonal reconfigurable intelligent surface (BD-RIS), which enables advanced wave control through interconnection of RIS elements, are gaining growing recognition as a promising technology for 6G and beyond. However, the enhanced flexibility of BD-RIS in controlling the phase and amplitude of reflected signals comes at the cost of high circuit complexity. In this paper, we propose two novel BD-RIS architectures, namely, the stem-connected RIS and cluster-connected RIS, to explore trade-off between circuit complexity and performance. Specifically, the proposed stem-connected RIS is capable of achieving the same performance as fully-connected RIS while significantly reducing circuit complexity. The proposed cluster-connected RIS offers a unified framework that generalizes existing BD-RIS architectures--including single-connected, fully-connected, group-connected, tree-connected (arrowhead), and forest-connected (arrowhead) RISs--as special cases. This framework enables a much more flexible trade-offs between circuit complexity and system performance than existing ones. Based on the proposed BD-RIS architectures, we introduce a novel and generalized structure-oriented symmetric unitary projection method for designing the scattering matrix across all BD-RIS configurations. This method is effectively applied to solve the sum channel gain maximization problem and other utility-based optimization problems. Numerical results demonstrate that the proposed stem-connected RIS is the simplest architecture that achieves optimal BD-RIS performance, while the cluster-connected RIS further enlarges the performance-complexity trade-off range. Furthermore, the proposed projection-based algorithms demonstrate high efficiency.

eess.SP↗

arXiv2025

Convergence Theory of Flexible ALADIN for Distributed Optimization

The Augmented Lagrangian Alternating Direction Inexact Newton (ALADIN) method is a cutting-edge distributed optimization algorithm known for its superior numerical performance. It relies on each agent transmitting information to a central coordinator for data exchange. However, in practical network optimization and federated learning, unreliable information transmission often leads to packet loss, posing challenges for the convergence analysis of ALADIN. To address this issue, this paper proposes Flexible ALADIN, a random polling variant of ALADIN, and presents a rigorous convergence analysis, including global convergence for convex problems and local convergence for non-convex problems.

eess.SY↗

arXiv2025

Deep Reinforcement Learning for Long-Short Portfolio Optimization

With the rapid development of artificial intelligence, data-driven methods effectively overcome limitations in traditional portfolio optimization. Conventional models primarily employ long-only mechanisms, excluding highly correlated assets to diversify risk. However, incorporating short-selling enables low-risk arbitrage through hedging correlated assets. This paper constructs a Deep Reinforcement Learning (DRL) portfolio management framework with short-selling mechanisms conforming to actual trading rules, exploring strategies for excess returns in China's A-share market. Key innovations include: (1) Development of a comprehensive short-selling mechanism in continuous trading that accounts for dynamic evolution of transactions across time periods; (2) Design of a long-short optimization framework integrating deep neural networks for processing multi-dimensional financial time series with mean Sharpe ratio reward functions. Empirical results show the DRL model with short-selling demonstrates significant optimization capabilities, achieving consistent positive returns during backtesting periods. Compared to traditional approaches, this model delivers superior risk-adjusted returns while reducing maximum drawdown. From an allocation perspective, the DRL model establishes a robust investment style, enhancing defensive capabilities through strategic avoidance of underperforming assets and balanced capital allocation. This research contributes to portfolio theory while providing novel methodologies for quantitative investment practice.

q-fin.CP↗

arXiv2025

A Deep Reinforcement Learning Framework for Dynamic Portfolio Optimization: Evidence from China's Stock Market

Artificial intelligence is transforming financial investment decision-making frameworks, with deep reinforcement learning demonstrating substantial potential in robo-advisory applications. This paper addresses the limitations of traditional portfolio optimization methods in dynamic asset weight adjustment through the development of a deep reinforcement learning-based dynamic optimization model grounded in practical trading processes. The research advances two key innovations: first, the introduction of a novel Sharpe ratio reward function engineered for Actor-Critic deep reinforcement learning algorithms, which ensures stable convergence during training while consistently achieving positive average Sharpe ratios; second, the development of an innovative comprehensive approach to portfolio optimization utilizing deep reinforcement learning, which significantly enhances model optimization capability through the integration of random sampling strategies during training with image-based deep neural network architectures for multi-dimensional financial time series data processing, average Sharpe ratio reward functions, and deep reinforcement learning algorithms. The empirical analysis validates the model using randomly selected constituent stocks from the CSI 300 Index, benchmarking against established financial econometric optimization models. Backtesting results demonstrate the model's efficacy in optimizing portfolio allocation and mitigating investment risk, yielding superior comprehensive performance metrics.

q-fin.PM↗

arXiv2025

Joint Active and Passive Beamforming Optimization for Beyond Diagonal RIS-aided Multi-User Communications

Benefiting from its capability to generalize existing reconfigurable intelligent surface (RIS) architectures and provide additional design flexibility via interactions between RIS elements, beyond-diagonal RIS (BD-RIS) has attracted considerable research interests recently. However, due to the symmetric and unitary passive beamforming constraint imposed on BD-RIS, existing joint active and passive beamforming optimization algorithms for BD-RIS either exhibit high computational complexity to achieve near optimal solutions or rely on heuristic algorithms with substantial performance loss. In this paper, we address this issue by proposing an efficient optimization framework for BD-RIS assisted multi-user multi-antenna communication networks. Specifically, we solve the weighted sum rate maximization problem by introducing a novel beamforming optimization algorithm that alternately optimizes active and passive beamforming matrices using iterative closed-form solutions. Numerical results demonstrate that our algorithm significantly reduces computational complexity while ensuring a sub-optimal solution.

eess.SP↗

arXiv2024

Improve Sensitivity Analysis Synthesizing Randomized Clinical Trials With Limited Overlap

Randomized clinical trials are the gold standard when estimating the average treatment effect. However, they are usually not a random sample from the real-world population because of the inclusion/exclusion rules. Meanwhile, observational studies typically consist of representative samples from the real-world population. However, due to unmeasured confounding, sensitivity analysis is often used to estimate bounds for the average treatment effect without relying on stringent assumptions of other existing methods. This article introduces a synthesis estimator that improves sensitivity analysis in observational studies by incorporating randomized clinical trial data, even when overlap in covariate distribution is limited due to inclusion/exclusion criteria. We show that the proposed estimator will give a tighter bound when a "separability" condition holds for the sensitivity parameter. Theoretical proofs and simulations show that this method provides a tighter bound than the sensitivity analysis using only observational study. We apply this method to combine an observational study on drug effectiveness with a partially overlapping RCT dataset, yielding improved average treatment effect bounds.

stat.ME↗

arXiv2024

A Novel Q-stem Connected Architecture for Beyond-Diagonal Reconfigurable Intelligent Surfaces

Beyond-diagonal reconfigurable intelligent surface (BD-RIS) has garnered significant research interest recently due to its ability to generalize existing reconfigurable intelligent surface (RIS) architectures and provide enhanced performance through flexible inter-connection among RIS elements. However, current BD-RIS designs often face challenges related to high circuit complexity and computational complexity, and there is limited study on the trade-off between system performance and circuit complexity. To address these issues, in this work, we propose a novel BD-RIS architecture named Q-stem connected RIS that integrates the characteristics of existing single connected, tree connected, and fully connected BD-RIS, facilitating an effective trade-off between system performance and circuit complexity. Additionally, we propose two algorithms to design the RIS scattering matrix for a Q-stem connected RIS aided multi-user broadcast channels, namely, a low-complexity least squares (LS) algorithm and a suboptimal LS-based quasi-Newton algorithm. Simulations show that the proposed architecture is capable of attaining the sum channel gain achieved by fully connected RIS while reducing the circuit complexity. Moreover, the proposed LS-based quasi-Newton algorithm significantly outperforms the baselines, while the LS algorithm provides comparable performance with a substantial reduction in computational complexity.

cs.IT↗

arXiv2024

Cramér-Rao Bound Based Waveform Optimization for MIMO Radar: An Efficient Linear-Proximal Method

This paper focuses on radar waveform optimization for minimizing the Cramér-Rao bound (CRB) in a multiple-input multiple-output (MIMO) radar system. In contrast to conventional approaches relying on semi-definite programming (SDP) and optimization toolboxes like CVX, we introduce a pioneering and efficient waveform optimization approach in this paper. Our proposed algorithm first applies sequential linear approximation to transform the original CRB-based problem with the transmit power constraint into a sequence of convex subproblems. By introducing a proximal term and further leveraging the Karush-Kuhn-Tucker (KKT) conditions, we derive the optimal closed-form solution for each subproblem. The convergence of the proposed algorithm is then proved rigorously. Numerical results demonstrate that the proposed approach significantly reduces computational complexity -- at least two orders of magnitude lower than the baseline algorithms while maintaining the same radar sensing accuracy.

eess.SP↗

arXiv2023

A Bi-level Globalization Strategy for Non-convex Consensus ADMM and ALADIN

In this paper, we formally analyze global convergence in the realm of distributed consensus optimization. Current solutions have explored such analysis, particularly focusing on consensus alternating direction method of multipliers (CADMM), including convex and non-convex cases. While such efforts on non-convexity offer elegant theory guaranteeing global convergence, they entail strong assumptions and complicated proof techniques that are increasingly pose challenges when adopted to real-world applications. To resolve such tension, we propose a novel bi-level globalization strategy that not only guarantees global convergence but also provides succinct proofs, all while requiring mild assumptions. We begin by adopting such a strategy to perform global convergence analysis for the non-convex cases in C-ADMM. Then, we employ our proposed strategy in consensus augmented Lagrangian based alternating direction inexact Newton method (C-ALADIN), a more recent and generalization of C-ADMM. Surprisingly, our analysis shows that C-ALADIN globally converges to local optimizer, complementary to the prior work on C-ALADIN, which had primarily focused on analyzing local convergence for non-convex cases.

math.OC↗

arXiv2023

Identification and estimation of treatment effects on long-term outcomes in clinical trials with external observational data

In biomedical studies, estimating drug effects on chronic diseases requires a long follow-up period, which is difficult to meet in randomized clinical trials (RCTs). The use of a short-term surrogate to replace the long-term outcome for assessing the drug effect relies on stringent assumptions that empirical studies often fail to satisfy. Motivated by a kidney disease study, we investigate the drug effects on long-term outcomes by combining an RCT without observation of long-term outcome and an observational study in which the long-term outcome is observed but unmeasured confounding may exist. Under a mean exchangeability assumption weaker than the previous literature, we identify the average treatment effects in the RCT and derive the associated efficient influence function and semiparametric efficiency bound. Furthermore, we propose a locally efficient doubly robust estimator and an inverse probability weighted (IPW) estimator. The former attains the semiparametric efficiency bound if all the working models are correctly specified. The latter has a simpler form and requires much fewer model specifications. The IPW estimator using estimated propensity scores is more efficient than that using true propensity scores and achieves the semiparametric efficient bound in the case of discrete covariates and surrogates with finite support. Both estimators are shown to be consistent and asymptotically normally distributed. Extensive simulations are conducted to evaluate the finite-sample performance of the proposed estimators. We apply the proposed methods to estimate the efficacy of oral hydroxychloroquine on renal failure in a real-world data analysis.

stat.ME↗

arXiv2022

Sharp bounds for variance of treatment effect estimators in the finite population in the presence of covariates

In a completely randomized experiment, the variances of treatment effect estimators in the finite population are usually not identifiable and hence not estimable. Although some estimable bounds of the variances have been established in the literature, few of them are derived in the presence of covariates. In this paper, the difference-in-means estimator and the Wald estimator are considered in the completely randomized experiment with perfect compliance and noncompliance, respectively. Sharp bounds for the variances of these two estimators are established when covariates are available. Furthermore, consistent estimators for such bounds are obtained, which can be used to shorten the confidence intervals and improve the power of tests. Confidence intervals are constructed based on the consistent estimators of the upper bounds, whose coverage rates are uniformly asymptotically guaranteed. Simulations were conducted to evaluate the proposed methods. The proposed methods are also illustrated with two real data analyses.

math.ST↗

arXiv2022

Identifying effects of multiple treatments in the presence of unmeasured confounding

Identification of treatment effects in the presence of unmeasured confounding is a persistent problem in the social, biological, and medical sciences. The problem of unmeasured confounding in settings with multiple treatments is most common in statistical genetics and bioinformatics settings, where researchers have developed many successful statistical strategies without engaging deeply with the causal aspects of the problem. Recently there have been a number of attempts to bridge the gap between these statistical approaches and causal inference, but these attempts have either been shown to be flawed or have relied on fully parametric assumptions. In this paper, we propose two strategies for identifying and estimating causal effects of multiple treatments in the presence of unmeasured confounding. The auxiliary variables approach leverages variables that are not causally associated with the outcome; in the case of a univariate confounder, our method only requires one auxiliary variable, unlike existing instrumental variable methods that would require as many instruments as there are treatments. An alternative null treatments approach relies on the assumption that at least half of the confounded treatments have no causal effect on the outcome, but does not require a priori knowledge of which treatments are null. Our identification strategies do not impose parametric assumptions on the outcome model and do not rest on estimation of the confounder. This paper extends and generalizes existing work on unmeasured confounding with a single treatment and models commonly used in bioinformatics.

stat.ME↗

arXiv2018

Boundary behaviours of open vesicles in axisymmetric case

A continuous transformation from a closed vesicle to an open vesicle needs that the area of open hole enlarge from zero. Since the shape equation and boundary conditions of lipid open vesicles with free edges have been obtained, we want know whether this process can be archived with valid parameters. By study the boundary conditions in the axisymmetric case, the analytic expression of the boundary edges is obtained generally. It reveals that the radius and line tension of boundary edges are confined strongly by bending moduli. In some cases, there is the minimal nonzero boundary radius and the line tension needs to surmount the maxim following the increase of boundary radius. Without the spontaneous curvature, the line tension will trend to infinite when the boundary radius shrinks to zero. The continuous opening process from a closed vesicle to an open vesicle needs that the spontaneous curvature is nonzero and the ratio between the bending moduli of Gauss curvature and mean curvature satisfies $k\leq-4$. Besides the line tension, a closed vesicle can be opened through changing the spontaneous curvature.

cond-mat.soft↗

arXiv2017

Modeling Coefficient Alpha for Measurement of Individualized Test Score Internal Consistency

A method for measuring individualized reliability of several tests on subjects with heterogenecity is proposed. A regression model is developed based on three sets of generalized estimating equations (GEE). The first set of GEE models the expectation of the responses, the second set of GEE models the response's variance, and the third set is proposed to estimate the individualized coefficient alpha, defined and used to measure individualized internal consistency of the responses. We also extend our method to handle missing data in the covariates. Asymptotic property of the estimators is discussed, based on which interval estimation of the coefficient alpha and significance detection are derived. Performance of our method is evaluated through simulation study and real data analysis. The real data application is from a health literacy study in Hunan province of China.

stat.ME↗

arXiv2017

Discontinuity of curvature on axisymmetric Willmore surfaces

The equilibrium shapes of vesicles are governed by the general shape equation which is derived from the minimization of the Helfrich elastic free energy and can be reduced to the Willmore equation in a special case. The general shape equation is a high order nonlinear partial differential equation and it is very difficult to find analytical solution even in axisymmetric case, which is reduced to a seconder ordinary differential equation. Traditional axisymmetric shape equation is with the turning radius as the variable. Here we study the shape equation with the tangential angle as the variable. In this case, the Willmore equation is reduced to the Bernoulli differential equation and the general solution is obtained conveniently. We find that the curvature in this solution is discontinuous in some cases, which was ignored by previous researchers. This solution can satisfy the boundary conditions for open vesicle with free edges.

cond-mat.soft↗

arXiv2017

Structure--property relationships of cell clusters in biotissues: 2D analysis

To insight the relationships between the self-organizing structures of cells, such as the cell clusters, and the properties of biotissues is helpful in revealing the function and designing biomaterial. Traditional random foam model neglects several important details of the frameworks of cell clusters, in this study we use a more complete model, cell adhesion model, to investigate the mechanical and morphological properties of the two-dimensional (2D) dry foams composed by cells. Supposing these structures are formed due to adhesion between cells, the equilibrium formations result from the minimum of the free energy. The equilibrium shape equations for high symmetrical structures without the volume constraint are derived, and the analytical results of the corresponding mechanical parameters, such as the Young's modulus, bulk modulus and failure strength, are obtained. Numerical simulation method is applied to study the complex shapes with the volume constraint and several stable multicellular structures are obtained. Symmetry-breaking due to the volume change is founded and typical periodic shapes and the corresponding phase transformations are explored. Our study provides a potential method to connect the microstructure with the macro-mechanical parameters of biotissues. The results also are helpful to understand the physical mechanism of how the structures of biotissues are formed.

cond-mat.soft↗