arXiv subjects

Yukuan Hu

Publications and source records attributed to Yukuan Hu.

11 recordsLinked to original sources

arXiv2026

A Damped Subspace Splitting Algorithm for Constrained Density Functional Theory

Constrained density functional theory (CDFT) provides a powerful framework for describing electronically excited and charge-localized states, which underlie a broad range of physical and chemical phenomena. However, the discretized optimization problems arising from CDFT calculations remain challenging, owing to the presence of both the Stiefel manifold constraint and additional nonconvex quadratic constraints. Existing algorithms either fail to enforce the quadratic constraints with high accuracy or face convergence issues due to double-loop iterative structures. In this paper, we first derive a subspace-splitting reformulation that decouples the two groups of constraints, by exploiting the inherent rotation invariance and introducing a nonlinear subspace alignment constraint. Based on this reformulation, we propose a single-loop damped alternating direction method of multipliers, called DASSP. To the best of our knowledge, DASSP is the first algorithm for CDFT calculations with rigorous convergence guarantees. Each iteration of DASSP comprises a spectral minimization step, a projected gradient step, and a damped dual ascent step, all of which admit efficient implementations. Numerical results on synthetic and realistic CDFT problems demonstrate that DASSP attains high feasibility accuracy and exhibits favorable efficiency without compromising robustness. We expect that this work will pave the way toward reliable and efficient large-scale CDFT applications.

math.OC↗

arXiv2026

Critical point search and linear response theory for computing electronic excitation energies of molecular systems. Part II. CASSCF

The computation of excited states within the Complete Active Space Self-Consistent Field (CASSCF) framework remains a significant challenge in quantum chemistry, both theoretically and algorithmically. In this work, we extend the K\"ahler manifold formalism introduced in Part I of this series to the CASSCF theory, and draw a geometrical connection from the time-dependent CASSCF equations to state-specific and linear response methodologies for excited states. This is achieved by first investigating the underlying CASSCF manifold and identifying its K\"ahler structure, which is complicated by the nontrivial coupling of CI and orbital degrees of freedom. Building on these theoretical findings, we derive the CASSCF linear response equations in a straightforward manner, and develop a robust state-specific method that relies solely on first-order derivatives of the CASSCF energy functional. Numerical results on representative molecular systems-water, formaldehyde, and ethylene-demonstrate the effectiveness of the proposed state-specific method, while revealing the difficulty of reliable identification of excited states due to nonlinearity induced by the CASSCF theory.

physics.chem-ph↗

arXiv2026

Constrained dynamics for searching saddle points on embedded Riemannian submanifolds of Euclidean space

Finding constrained saddle points on embedded Riemannian submanifolds of Euclidean space is significant for analyzing energy landscapes arising in physics and chemistry. Existing works exploit explicit global/local regular level-set representations of manifolds, which may be unavailable or computationally inconvenient for manifolds represented through, e.g., projectors, factorizations, or rank constraints. In this paper, we develop a constrained saddle dynamic based on embedded-submanifold geometric primitives, completely avoiding the use of explicit representations. In particular, our dynamic is formulated compactly on the Grassmann bundle of the tangent bundle. By analyzing the Grassmann bundle geometry, we rigorously establish the local linear stability of the dynamic and the local linear convergence of the resulting algorithms. Remarkably, our analysis provides the first iterate convergence result for discretized algorithms to saddle points of prescribed indices in embedded-submanifold settings. Moreover, by virtue of the Grassmann bundle formulation, we remove unnecessary nondegeneracy assumptions on the eigenvalues of the Riemannian Hessian that are present in existing works. We also point out that locating saddle points can be more ill-conditioned than finding local minimizers, and requires using nonredundant parametrizations. Finally, numerical experiments on linear eigenvalue problems and electronic excited-state calculations showcase the effectiveness of the proposed algorithms and corroborate the established local theory.

math.NA↗

arXiv2025

Critical point search and linear response theory for computing electronic excitation energies of molecular systems. Part I: General framework, application to Hartree-Fock and DFT

Computing excited states of many-body quantum Hamiltonians is a fundamental challenge in computational physics and chemistry, with state-of-the-art methods broadly classified into variational (critical point search) and linear response approaches. The K\"ahler manifold formalism provides a uniform framework which naturally accommodates both strategies for a wide range of variational models, including Hartree-Fock, CASSCF, Full CI, and adiabatic TDDFT. In particular, this formalism leads to a systematic and straightforward way to obtain the final equations of linear response theory for nonlinear models, which provides, in the case of mean-field models (Hartree-Fock and DFT), a simple alternative to Casida's derivation. We detail the mathematical structure of Hamiltonian dynamics on K\"ahler manifolds, establish connections to standard quantum chemistry equations, and provide theoretical and numerical comparisons of excitation energy computation schemes at the Hartree-Fock level.

physics.chem-ph↗

arXiv2025

Lower Bound on the Representation Complexity of Antisymmetric Tensor Product Functions

Tensor product function (TPF) approximations have been widely adopted in solving high-dimensional problems, such as partial differential equations and eigenvalue problems, achieving desirable accuracy with computational overhead that scales linearly with problem dimensions. However, recent studies have underscored the extraordinarily high computational cost of TPFs on quantum many-body problems, even for systems with as few as three particles. A key distinction in these problems is the antisymmetry requirement on the unknown functions. In the present work, we rigorously establish that the minimum number of involved terms for a class of TPFs to be exactly antisymmetric increases exponentially fast with the problem dimension. This class encompasses both traditionally discretized TPFs and the recent ones parameterized by neural networks. Our proof exploits the link between the antisymmetric TPFs in this class and the corresponding antisymmetric tensors and focuses on the Canonical Polyadic rank of the latter. As a result, our findings reveal that low-rank TPFs are fundamentally unsuitable for high-dimensional problems where antisymmetry is essential.

math.NA↗

arXiv2024

Projected gradient descent algorithm for $\textit{ab initio}$ crystal structure relaxation under a fixed unit cell volume

This paper is concerned with $\textit{ab initio}$ crystal structure relaxation under a fixed unit cell volume, which is a step in calculating the static equations of state and forms the basis of thermodynamic property calculations for materials. The task can be formulated as an energy minimization with a determinant constraint. Widely used line minimization-based methods (e.g., conjugate gradient method) lack both efficiency and convergence guarantees due to the nonconvex nature of the feasible region as well as the significant differences in the curvatures of the potential energy surface with respect to atomic and lattice components. To this end, we propose a projected gradient descent algorithm named PANBB. It is equipped with (i) search direction projections onto the tangent spaces of the nonconvex feasible region for lattice vectors, (ii) distinct curvature-aware initial trial step sizes for atomic and lattice updates, and (iii) a nonrestrictive line minimization criterion as the stopping rule for the inner loop. It can be proved that PANBB favors theoretical convergence to equilibrium states. Across a benchmark set containing 223 structures from various categories, PANBB achieves average speedup factors of approximately 1.41 and 1.45 over the conjugate gradient method and direct inversion in the iterative subspace implemented in off-the-shelf simulation software, respectively. Moreover, it normally converges on all the systems, manifesting its unparalleled robustness. As an application, we calculate the static equations of state for the high-entropy alloy AlCoCrFeNi, which remains elusive owing to 160 atoms representing both chemical and magnetic disorder and the strong local lattice distortion. The results are consistent with the previous calculations and are further validated by experimental thermodynamic data.

physics.comp-ph↗

arXiv2024

Sampling-Based Methods for Multi-Block Optimization Problems over Transport Polytopes

This paper focuses on multi-block optimization problems over transport polytopes, which underlie various applications including strongly correlated quantum physics and machine learning. Conventional block coordinate descent-type methods for the general multi-block problems store and operate on the matrix variables directly, resulting in formidable expenditure for large-scale settings. On the other hand, optimal transport problems, as a special case, have attracted extensive attention and numerical techniques that waive the use of the full matrices have recently emerged. However, it remains nontrivial to apply these techniques to the multi-block, possibly nonconvex problems with theoretical guarantees. In this work, we leverage the benefits of both sides and develop novel sampling-based block coordinate descent-type methods, which are equipped with either entropy regularization or Kullback-Leibler divergence. Each iteration of these methods solves subproblems restricted on the sampled degrees of freedom. Consequently, they involve only sparse matrices, which amounts to considerable complexity reductions. We explicitly characterize the sampling-induced errors and establish convergence and asymptotic properties for the methods equipped with the entropy regularization. Numerical experiments on typical strongly correlated electron systems corroborate their superior scalability over the methods utilizing full matrices. The advantage also enables the first visualization of approximate optimal transport maps between electron positions in three-dimensional contexts.

math.OC↗

arXiv2022

The Exactness of the $\ell_1$ Penalty Function for a Class of Mathematical Programs with Generalized Complementarity Constraints

In a Mathematical Program with Generalized Complementarity Constraints (MPGCC), complementarity relationships are imposed between each pair of variable blocks. MPGCC includes the traditional Mathematical Program with Complementarity Constraints (MPCC) as a special case. On account of the disjunctive feasible region, MPCC and MPGCC are generally difficult to handle. The $\ell_1$ penalty method, often adopted in computation, opens a way of circumventing the difficulty. Yet it remains unclear about the exactness of the $\ell_1$ penalty function, namely, whether there exists a sufficiently large penalty parameter so that the penalty problem shares the optimal solution set with the original one. In this paper, we consider a class of MPGCCs that are of multi-affine objective functions. This problem class finds applications in various fields, e.g., the multi-marginal optimal transport problems in many-body quantum physics and the pricing problem in network transportation. We first provide an instance from this class, the exactness of whose $\ell_1$ penalty function cannot be derived by existing tools. We then establish the exactness results under rather mild conditions. Our results cover those existing ones for MPCC and apply to multi-block contexts.

math.OC↗

arXiv2022

A force-based gradient descent method for $\mathit{\text{ab initio}}$ atomic structure relaxation

Force-based algorithms for $\mathit{\text{ab initio}}$ atomic structure relaxation, such as conjugate gradient methods, usually get stuck in the line minimization processes along search directions, where expensive $\mathit{\text{ab initio}}$ calculations are triggered frequently to test trial positions before locating the next iterate. We present a force-based gradient descent method, WANBB, that circumvents the deficiency. At each iteration, WANBB enters the line minimization process with a trial stepsize capturing the local curvature of the energy surface. The exit is controlled by an unrestrictive criterion that tends to accept early trials. These two ingredients streamline the line minimization process in WANBB. The numerical simulations on nearly 80 systems with good universality demonstrate the considerable compression of WANBB on the cost for the unaccepted trials compared with conjugate gradient methods. We also observe across the board significant and universal speedups as well as the superior robustness of WANBB over several widely used methods. The latter point is theoretically established. The implementation of WANBB is pretty simple, in that no a priori physical knowledge is required and only two parameters are present without tuning.

physics.comp-ph↗

arXiv2022

The Convergence Properties of Infeasible Inexact Proximal Alternating Linearized Minimization

The proximal alternating linearized minimization method (PALM) suits well for solving block-structured optimization problems, which are ubiquitous in real applications. In the cases where subproblems do not have closed-form solutions, e.g., due to complex constraints, infeasible subsolvers are indispensable, giving rise to an infeasible inexact PALM (PALM-I). Numerous efforts have been devoted to analyzing feasible PALM, while little attention has been paid to PALM-I. The usage of PALM-I thus lacks theoretical guarantee. The essential difficulty of analyses consists in the objective value nonmonotonicity induced by the infeasibility. We study in the present work the convergence properties of PALM-I. In particular, we construct a surrogate sequence to surmount the nonmonotonicity issue and devise an implementable inexact criterion. Based upon these, we manage to establish the stationarity of any accumulation point and, moreover, show the iterate convergence and the asymptotic convergence rates under the assumption of the Lojasiewicz property. The prominent advantages of PALM-I on CPU time are illustrated via numerical experiments on problems arising from quantum physics and 3D anisotropic frictional contact.

math.OC↗

arXiv2021

A Global Optimization Approach for Multi-Marginal Optimal Transport Problems with Coulomb Cost

In this work, we construct a novel numerical method for solving the multi-marginal optimal transport problems with Coulomb cost. This type of optimal transport problems arises in quantum physics and plays an important role in understanding the strongly correlated quantum systems. With a Monge-like ansatz, the orginal high-dimensional problems are transferred into mathematical programmings with generalized complementarity constraints, and thus the curse of dimensionality is surmounted. However, the latter ones are themselves hard to deal with from both theoretical and practical perspective. Moreover in the presence of nonconvexity, brute-force searching for global solutions becomes prohibitive as the problem size grows large. To this end, we propose a global optimization approach for solving the nonconvex optimization problems, by exploiting an efficient proximal block coordinate descent local solver and an initialization subroutine based on hierarchical grid refinements. We provide numerical simulations on some typical physical systems to show the efficiency of our approach. The results match well with both theoretical predictions and physical intuitions, and give the first visualization of optimal transport maps for some two dimensional systems.

math.OC↗