Balanced set

Template:Short description Template:Use mdy dates Template:Use American English In linear algebra and related areas of mathematics a balanced set, circled set or disk in a vector space (over a field $𝕂$ with an absolute value function $|\cdot |$) is a set $S$ such that $aS\subseteq S$ for all scalars $a$ satisfying $|a|\le 1.$

The balanced hull or balanced envelope of a set $S$ is the smallest balanced set containing $S.$ The balanced core of a set $S$ is the largest balanced set contained in $S.$

Balanced sets are ubiquitous in functional analysis because every neighborhood of the origin in every topological vector space (TVS) contains a balanced neighborhood of the origin and every convex neighborhood of the origin contains a balanced convex neighborhood of the origin (even if the TVS is not locally convex). This neighborhood can also be chosen to be an open set or, alternatively, a closed set.

Definition

Let $X$ be a vector space over the field $𝕂$ of real or complex numbers.

Notation

If $S$ is a set, $a$ is a scalar, and $B\subseteq 𝕂$ then let $aS=\{as:s\in S\}$ and $BS=\{bs:b\in B,s\in S\}$ and for any $0\le r\le \mathrm{\infty },$ let $$B_r=\{a\in 𝕂:|a|<r\}\text{ and }{B}_{\le r}=\{a\in 𝕂:|a|\le r\}.$$ denote, respectively, the open ball and the closed ball of radius $r$ in the scalar field $𝕂$ centered at $0$ where $B_0=\varnothing ,B_{\le 0}=\{0\},$ and $B_{\mathrm{\infty }}=B_{\le \mathrm{\infty }}=𝕂.$ Every balanced subset of the field $𝕂$ is of the form $B_{\le r}$ or $B_r$ for some $0\le r\le \mathrm{\infty }.$

Balanced set

A subset $S$ of $X$ is called a Template:Visible anchor or balanced if it satisfies any of the following equivalent conditions:

1. Definition: $as\in S$ for all $s\in S$ and all scalars $a$ satisfying $|a|\le 1.$
2. $aS\subseteq S$ for all scalars $a$ satisfying $|a|\le 1.$
3. $B_{\le 1}S\subseteq S$ (where $B_{\le 1}:=\{a\in 𝕂:|a|\le 1\}$).
4. $S=B_{\le 1}S.$Template:Sfn
5. For every $s\in S,$ $S\cap 𝕂s=B_{\le 1}(S\cap 𝕂s).$
   • $𝕂s=\mathrm{span}\{s\}$ is a $0$ (if $s=0$) or $1$ (if $s\ne 0$) dimensional vector subspace of $X.$
   • If $R:=S\cap 𝕂s$ then the above equality becomes $R=B_{\le 1}R,$ which is exactly the previous condition for a set to be balanced. Thus, $S$ is balanced if and only if for every $s\in S,$ $S\cap 𝕂s$ is a balanced set (according to any of the previous defining conditions).
6. For every 1-dimensional vector subspace $Y$ of $\mathrm{span}S,$ $S\cap Y$ is a balanced set (according to any defining condition other than this one).
7. For every $s\in S,$ there exists some $0\le r\le \mathrm{\infty }$ such that $S\cap 𝕂s=B_{r}s$ or $S\cap 𝕂s=B_{\le r}s.$
8. $S$ is a balanced subset of $\mathrm{span}S$ (according to any defining condition of "balanced" other than this one).
   • Thus $S$ is a balanced subset of $X$ if and only if it is balanced subset of every (equivalently, of some) vector space over the field $𝕂$ that contains $S.$ So assuming that the field $𝕂$ is clear from context, this justifies writing "$S$ is balanced" without mentioning any vector space.

If $S$ is a convex set then this list may be extended to include:

9. $aS\subseteq S$ for all scalars $a$ satisfying $|a|=1.$Template:Sfn

If $𝕂=ℝ$ then this list may be extended to include:

10. $S$ is symmetric (meaning $-S=S$) and $[0,1)S\subseteq S.$

Balanced hull

$$\mathrm{bal}S=\bigcup _{|a|\le 1}aS=B_{\le 1}S$$

The Template:Visible anchor of a subset $S$ of $X,$ denoted by $\mathrm{bal}S,$ is defined in any of the following equivalent ways:

1. Definition: $\mathrm{bal}S$ is the smallest (with respect to $\subseteq$) balanced subset of $X$ containing $S.$
2. $\mathrm{bal}S$ is the intersection of all balanced sets containing $S.$
3. $\mathrm{bal}S=\bigcup _{|a|\le 1}(aS).$
4. $\mathrm{bal}S=B_{\le 1}S.$Template:Sfn

Balanced core

$$\mathrm{balcore}S=\{\begin{array}{cc}\bigcap _{|a|\ge 1}aS& \text{ if }0\in S\\ \varnothing & \text{ if }0\in ̸S\end{array}$$

The Template:Visible anchor of a subset $S$ of $X,$ denoted by $\mathrm{balcore}S,$ is defined in any of the following equivalent ways:

1. Definition: $\mathrm{balcore}S$ is the largest (with respect to $\subseteq$) balanced subset of $S.$
2. $\mathrm{balcore}S$ is the union of all balanced subsets of $S.$
3. $\mathrm{balcore}S=\varnothing$ if $0\in ̸S$ while $\mathrm{balcore}S=\bigcap _{|a|\ge 1}(aS)$ if $0\in S.$

Examples

The empty set is a balanced set. As is any vector subspace of any (real or complex) vector space. In particular, $\{0\}$ is always a balanced set.

Any non-empty set that does not contain the origin is not balanced and furthermore, the balanced core of such a set will equal the empty set.

Normed and topological vector spaces

The open and closed balls centered at the origin in a normed vector space are balanced sets. If $p$ is a seminorm (or norm) on a vector space $X$ then for any constant $c>0,$ the set $\{x\in X:p(x)\le c\}$ is balanced.

If $S\subseteq X$ is any subset and $B_1:=\{a\in 𝕂:|a|<1\}$ then $B_{1}S$ is a balanced set. In particular, if $U\subseteq X$ is any balanced neighborhood of the origin in a topological vector space $X$ then $${\mathrm{Int}}_{X}U\subseteq B_{1}U=\bigcup _{0<|a|<1}aU\subseteq U.$$

Balanced sets in $ℝ$ and $ℂ$

Let $𝕂$ be the field real numbers $ℝ$ or complex numbers $ℂ,$ let $|\cdot |$ denote the absolute value on $𝕂,$ and let $X:=𝕂$ denotes the vector space over $𝕂.$ So for example, if $𝕂:=ℂ$ is the field of complex numbers then $X=𝕂=ℂ$ is a 1-dimensional complex vector space whereas if $𝕂:=ℝ$ then $X=𝕂=ℝ$ is a 1-dimensional real vector space.

The balanced subsets of $X=𝕂$ are exactly the following:Template:Sfn

1. $\varnothing$
2. $X$
3. $\{0\}$
4. $\{x\in X:|x|<r\}$ for some real $r>0$
5. $\{x\in X:|x|\le r\}$ for some real $r>0.$

Consequently, both the balanced core and the balanced hull of every set of scalars is equal to one of the sets listed above.

The balanced sets are $ℂ$ itself, the empty set and the open and closed discs centered at zero. Contrariwise, in the two dimensional Euclidean space there are many more balanced sets: any line segment with midpoint at the origin will do. As a result, $ℂ$ and ${ℝ}^2$ are entirely different as far as scalar multiplication is concerned.

Balanced sets in ${ℝ}^2$

Throughout, let $X={ℝ}^2$ (so $X$ is a vector space over $ℝ$) and let $B_{\le 1}$ is the closed unit ball in $X$ centered at the origin.

If $x_0\in X={ℝ}^2$ is non-zero, and $L:=ℝx_0,$ then the set $R:=B_{\le 1}\cup L$ is a closed, symmetric, and balanced neighborhood of the origin in $X.$ More generally, if $C$ is Template:Em closed subset of $X$ such that $(0,1)C\subseteq C,$ then $S:=B_{\le 1}\cup C\cup (-C)$ is a closed, symmetric, and balanced neighborhood of the origin in $X.$ This example can be generalized to ${ℝ}^n$ for any integer $n\ge 1.$

Let $B\subseteq {ℝ}^2$ be the union of the line segment between the points $(-1,0)$ and $(1,0)$ and the line segment between $(0,-1)$ and $(0,1).$ Then $B$ is balanced but not convex. Nor is $B$ is absorbing (despite the fact that $\mathrm{span}B={ℝ}^2$ is the entire vector space).

For every $0\le t\le \pi ,$ let $r_t$ be any positive real number and let $B^t$ be the (open or closed) line segment in $X:={ℝ}^2$ between the points $(\cos t,\sin t)$ and $-(\cos t,\sin t).$ Then the set $B=\bigcup _{0\le t<\pi }{r}_t{B}^t$ is a balanced and absorbing set but it is not necessarily convex.

The balanced hull of a closed set need not be closed. Take for instance the graph of $xy=1$ in $X={ℝ}^2.$

The next example shows that the balanced hull of a convex set may fail to be convex (however, the convex hull of a balanced set is always balanced). For an example, let the convex subset be $S:=[-1,1]\times \{1\},$ which is a horizontal closed line segment lying above the $x-$axis in $X:={ℝ}^2.$ The balanced hull $\mathrm{bal}S$ is a non-convex subset that is "hour glass shaped" and equal to the union of two closed and filled isosceles triangles $T_1$ and $T_2,$ where $T_2=-T_1$ and $T_1$ is the filled triangle whose vertices are the origin together with the endpoints of $S$ (said differently, $T_1$ is the convex hull of $S\cup \{(0,0)\}$ while $T_2$ is the convex hull of $(-S)\cup \{(0,0)\}$).

Sufficient conditions

A set $T$ is balanced if and only if it is equal to its balanced hull $\mathrm{bal}T$ or to its balanced core $\mathrm{balcore}T,$ in which case all three of these sets are equal: $T=\mathrm{bal}T=\mathrm{balcore}T.$

The Cartesian product of a family of balanced sets is balanced in the product space of the corresponding vector spaces (over the same field $𝕂$).

• The balanced hull of a compact (respectively, totally bounded, bounded) set has the same property.Template:Sfn
• The convex hull of a balanced set is convex and balanced (that is, it is absolutely convex). However, the balanced hull of a convex set may fail to be convex (a counter-example is given above).
• Arbitrary unions of balanced sets are balanced, and the same is true of arbitrary intersections of balanced sets.
• Scalar multiples and (finite) Minkowski sums of balanced sets are again balanced.
• Images and preimages of balanced sets under linear maps are again balanced. Explicitly, if $L:X\to Y$ is a linear map and $B\subseteq X$ and $C\subseteq Y$ are balanced sets, then $L(B)$ and $L^{-1}(C)$ are balanced sets.

Balanced neighborhoods

In any topological vector space, the closure of a balanced set is balanced.Template:Sfn The union of the origin $\{0\}$ and the topological interior of a balanced set is balanced. Therefore, the topological interior of a balanced neighborhood of the origin is balanced.Template:Sfn However, $\{(z,w)\in {ℂ}^2:|z|\le |w|\}$ is a balanced subset of $X={ℂ}^2$ that contains the origin $(0,0)\in X$ but whose (nonempty) topological interior does not contain the origin and is therefore not a balanced set.Template:Sfn Similarly for real vector spaces, if $T$ denotes the convex hull of $(0,0)$ and $(\pm 1,1)$ (a filled triangle whose vertices are these three points) then $B:=T\cup (-T)$ is an (hour glass shaped) balanced subset of $X:={ℝ}^2$ whose non-empty topological interior does not contain the origin and so is not a balanced set (and although the set $\{(0,0)\}\cup {\mathrm{Int}}_{X}B$ formed by adding the origin is balanced, it is neither an open set nor a neighborhood of the origin).

Every neighborhood (respectively, convex neighborhood) of the origin in a topological vector space $X$ contains a balanced (respectively, convex and balanced) open neighborhood of the origin. In fact, the following construction produces such balanced sets. Given $W\subseteq X,$ the symmetric set $\bigcap _{|u|=1}uW\subseteq W$ will be convex (respectively, closed, balanced, bounded, a neighborhood of the origin, an absorbing subset of $X$) whenever this is true of $W.$ It will be a balanced set if $W$ is a star shaped at the origin, which is true, for instance, when $W$ is convex and contains $0.$ In particular, if $W$ is a convex neighborhood of the origin then $\bigcap _{|u|=1}uW$ will be a Template:Em convex neighborhood of the origin and so its topological interior will be a balanced convex [[Open neighborhood|Template:Em neighborhood]] of the origin.Template:Sfn

Suppose that $W$ is a convex and absorbing subset of $X.$ Then $D:=\bigcap _{|u|=1}uW$ will be convex balanced absorbing subset of $X,$ which guarantees that the Minkowski functional $p_D:X\to ℝ$ of $D$ will be a seminorm on $X,$ thereby making $(X,p_D)$ into a seminormed space that carries its canonical pseduometrizable topology. The set of scalar multiples $rD$ as $r$ ranges over $\{\frac{1}{2},\frac{1}{3},\frac{1}{4},\dots \}$ (or over any other set of non-zero scalars having $0$ as a limit point) forms a neighborhood basis of absorbing disks at the origin for this locally convex topology. If $X$ is a topological vector space and if this convex absorbing subset $W$ is also a bounded subset of $X,$ then the same will be true of the absorbing disk $D:=\bigcap _{|u|=1}uW;$ if in addition $D$ does not contain any non-trivial vector subspace then $p_D$ will be a norm and $(X,p_D)$ will form what is known as an auxiliary normed space.Template:Sfn If this normed space is a Banach space then $D$ is called a Template:Em.

Properties

Properties of balanced sets

A balanced set is not empty if and only if it contains the origin. By definition, a set is absolutely convex if and only if it is convex and balanced. Every balanced set is star-shaped (at 0) and a symmetric set. If $B$ is a balanced subset of $X$ then:

• for any scalars $c$ and $d,$ if $|c|\le |d|$ then $cB\subseteq dB$ and $cB=|c|B.$ Thus if $c$ and $d$ are any scalars then $(cB)\cap (dB)=\underset{}{\min }\{|c|,|d|\}B.$
• $B$ is absorbing in $X$ if and only if for all $x\in X,$ there exists $r>0$ such that $x\in rB.$Template:Sfn
• for any 1-dimensional vector subspace $Y$ of $X,$ the set $B\cap Y$ is convex and balanced. If $B$ is not empty and if $Y$ is a 1-dimensional vector subspace of $\mathrm{span}B$ then $B\cap Y$ is either $\{0\}$ or else it is absorbing in $Y.$
• for any $x\in X,$ if $B\cap \mathrm{span}x$ contains more than one point then it is a convex and balanced neighborhood of $0$ in the 1-dimensional vector space $\mathrm{span}x$ when this space is endowed with the Hausdorff Euclidean topology; and the set $B\cap ℝx$ is a convex balanced subset of the real vector space $ℝx$ that contains the origin.

Properties of balanced hulls and balanced cores

For any collection $𝒮$ of subsets of $X,$ $$\mathrm{bal}\left(\bigcup _{S\in 𝒮}S\right)=\bigcup _{S\in 𝒮}\mathrm{bal}S\text{ and }\mathrm{balcore}\left(\bigcap _{S\in 𝒮}S\right)=\bigcap _{S\in 𝒮}\mathrm{balcore}S.$$

In any topological vector space, the balanced hull of any open neighborhood of the origin is again open. If $X$ is a Hausdorff topological vector space and if $K$ is a compact subset of $X$ then the balanced hull of $K$ is compact.Template:Sfn

If a set is closed (respectively, convex, absorbing, a neighborhood of the origin) then the same is true of its balanced core.

For any subset $S\subseteq X$ and any scalar $c,$ $\mathrm{bal}(cS)=c\mathrm{bal}S=|c|\mathrm{bal}S.$

For any scalar $c\ne 0,$ $\mathrm{balcore}(cS)=c\mathrm{balcore}S=|c|\mathrm{balcore}S.$ This equality holds for $c=0$ if and only if $S\subseteq \{0\}.$ Thus if $0\in S$ or $S=\varnothing$ then $$\mathrm{balcore}(cS)=c\mathrm{balcore}S=|c|\mathrm{balcore}S$$ for every scalar $c.$

Related notions

A function $p:X\to [0,\mathrm{\infty })$ on a real or complex vector space is said to be a Template:Em if it satisfies any of the following equivalent conditions:Template:Sfn

1. $p(ax)\le p(x)$ whenever $a$ is a scalar satisfying $|a|\le 1$ and $x\in X.$
2. $p(ax)\le p(bx)$ whenever $a$ and $b$ are scalars satisfying $|a|\le |b|$ and $x\in X.$
3. $\{x\in X:p(x)\le t\}$ is a balanced set for every non-negative real $t\ge 0.$

If $p$ is a balanced function then $p(ax)=p(|a|x)$ for every scalar $a$ and vector $x\in X;$ so in particular, $p(ux)=p(x)$ for every unit length scalar $u$ (satisfying $|u|=1$) and every $x\in X.$Template:Sfn Using $u:=-1$ shows that every balanced function is a symmetric function.

A real-valued function $p:X\to ℝ$ is a seminorm if and only if it is a balanced sublinear function.

See also

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References

Proofs

Sources

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