2

Problem: Show that $A$ and $B$ are similar without using eigenvalues or eigenvectors:

$$ A = \left[ {\begin{array}{ccc} 1 & 1 & 1 \\ 0 & 2 & 2 \\ 0 & 0 & 3 \\ \end{array} } \right] $$

$$ B = \left[ {\begin{array}{ccc} 1 & 0 & 0 \\ 0 & 2 & 0 \\ 0 & 0 & 3 \\ \end{array} } \right] $$

I see that they are row-equivalent. But how to determine the transition matrix $S$ such that $S^{-1}AS = B$? I understand diagonalizability (which they are) but I am instructed not to use that concept.

I also know that I could set up a system of equations to solve for the entries of $S$ like $AS = SB$, but that strikes me as crude.

3 Answers3

1

I take the question literally: "Show" means that you need to give a proof (which could simply be a computation that checks the definition) and "without using eigenvalues or eigenvectors" means that the proof is not allowed to refer to these concepts.

However, the assignment as stated does not prohibit you from using these concepts in order to come up with said proof/computation.

Assuming this is accepted by who ever gave you this task:

  1. Find the eigenvalues: straight forward as we have an upper triangular and a diagonal matrix. We find that they are all distinct and coincide for $A$ and $B$ as sets, which already tells us that $A$ and $B$ are similar by the general theory (at least over an algebraically closed base field).

  2. Find the associated eigenspaces for $A$: again this is not too hard given the structure of a triangular matrix. Make sure that the eigenvectors you pick are defined over the base field you are supposed to work in. E.g. the rationals should do here unless required differently.

  3. Assuming your eigenspaces are represented by a (generating) column vector, arrange these to form the transformation matrix $T$ with the property $A=TBT^{-1}$.

  4. Do not write up anything from the above in your answer, do in particular not mention any eigenthings. Write down $T$. Explicitly compute the two matrix products $AT$ and $TB$. Compare them and claim they coincide. Refer to the definition of similarity to claim to have shown what was asked.

Thomas Preu
  • 2,002
  • I should have made this more clear: I already know the approach you describe. I am trying to find an argument based on the concept of transition matrices alone. – Ungar Linski Aug 02 '22 at 22:18
  • Well once you have $T$ forget steps 1.-3. and step 4. is "an argument based on the concept of transition matrices alone." If this is not acceptable, please be more detailed about what (else) exactly is not allowed. – Thomas Preu Aug 02 '22 at 22:22
  • A transition matrix transitions you from one basis to another. $S$ is such a matrix. I can determine $S$ if I could determine the two bases. I think this is the approach I am supposed to use. I thought I encapsulated this by using the word transition in my question. – Ungar Linski Aug 02 '22 at 22:31
  • Agreed, but since $B$ is already diagonal you can take the standard basis $(e_i)_{i=1}^3$ for it. The interesting thing is to find the diagonalizing bases for $A$. Once you have that, construct $T$ from it. If you used eigenstuff as I suggested, then just be quiet about it and tell noone. Only tell the story of 4. and you will have shown similarity without having refered to eigenthings in your proof. Since it seems that you do not have to tell anybody how you came up with it, that should satisfy all requirements, or does it not? – Thomas Preu Aug 02 '22 at 22:40
  • That's true. But I'm trying to understand the mindset without that foreknowledge. The instructor seems to think it's possible too if I'm understanding his suggestions correctly (this problem is on a practice test he won't give the answers to, only verbal suggestions). But yeah maybe he thinks by staring at it you can come up with the $S$ or something. His verbal suggestion is to "use transition matrices" only, and he claims we could do the problem without knowing anything about eigenvectors or eigenvalues. – Ungar Linski Aug 03 '22 at 00:59
1

Here is another attempt of an answer. It will not mention eigentheory, but rely on the observation that $A$ and $B$ are upper triangular matrix that share an identical diagonal.

Warning: This approach does not work in general. This warning seems to be more relevant than the actual heuristic trial-and-error approach, which is why this disclaimer proceeds the actual answer.

  1. Look at the diagonal matrices $D_1=\text{diag}(1,2,3)$ and $D_2=\text{diag}(3,2,1)$. As diagonal matrices they are upper triangular and their diagonals are proper permutations of each other, just short of being identical. When we look for a transition matrix $T$ with $D_1T=TD_2$ it is however not possible to choose it from the upper triangular matrices. You need to permute the diagonal entries, e.g. $T=\begin{pmatrix}0&0&1\\0&1&0\\1&0&0\end{pmatrix}$. Another candidate would be $T=\begin{pmatrix}0&0&\frac{1}{2}\\0&1&0\\2&0&0\end{pmatrix}$ - those transition matrices are usually not unique as witnessed by the two examples just given, but no upper triangular matrix turns out to be a transition matrix. To see this set $U=\begin{pmatrix}a&b&c\\0&d&e\\0&0&f\end{pmatrix}$, compute $U^{-1}=\begin{pmatrix}\frac{1}{a}&-\frac{b}{ad}&\frac{be-cd}{adf}\\0&\frac{1}{d}&-\frac{e}{df}\\0&0&\frac{1}{f}\end{pmatrix}$ and $UD_2U^{-1}=\begin{pmatrix}3&-\frac{b}{d}&\frac{be-2cd}{df}\\0&2&-\frac{e}{f}\\0&0&1\end{pmatrix}$ which never can be equal to $D_1$ as the diagonal does not fit and is independent of the variable entries of $U$.

  2. An even worse example is given by $\tilde{A}=\begin{pmatrix}1&0&0\\0&1&1\\0&0&1\end{pmatrix}$ and $\tilde{B}=\begin{pmatrix}1&1&0\\0&1&0\\0&0&1\end{pmatrix}$. These are both upper triangular with identical diagonal which on top consist only of identical entries. Possible transition matrices are $T=\begin{pmatrix}0&0&1\\1&0&0\\0&1&0\end{pmatrix}$ or $T=\begin{pmatrix}0&0&\frac{5}{2}\\-3&0&0\\0&-3&0\end{pmatrix}$ which can be easily checked to satisfy $\tilde{A}T=T\tilde{B}$, none of them are upper triangular. If we try the approach with the "universal" upper triangular transition matrix we get $U\tilde{B}U^{-1}=\begin{pmatrix}1&\frac{a}{d}&-\frac{ae}{df}\\0&1&0\\0&0&1\end{pmatrix}$ which can never coincide with $\tilde{A}$ since at the position of the off-diagonal $1$ in $\tilde{A}$ we cannot get anything else than $0$.

These examples should make it clear, that the approach that I will present now, is not guaranteed to succeed, it is only a heuristic. The deeper reason for this failure is Jordan normal form theory, which requires that suitable transition matrices for the two examples above need to have a certain permutation part that is not achievable with upper triangular transition matrices alone. To show the impossibility concretely you don't need to rely on Jordan normal form theory, we explicitly computed the impossibility.

Actual answer: We need to find a $T$ such that $AT=TB$ for $A,B$ given in the question. Since $A,B$ are both upper triangular and the upper triangular matrices form a subalgebra of all matrices, we can heuristically hope to find an upper triangular $T=\begin{pmatrix}a&b&c\\0&d&e\\0&0&f\end{pmatrix}$ - although examples above show, that this wishful hope might be vacuous.

Additionally, since the diagonals of $A$ and $B$ are identically, we may thus hope that we can get away with a diagonal in $T$ consisting only of $1$s, i.e. $a=d=f=1$ resp. $T=\begin{pmatrix}1&b&c\\0&1&e\\0&0&1\end{pmatrix}$. This cuts down on our variables and makes the systems of equations that you already suggested in your question and which comes from $\begin{pmatrix}1&b+1&c+e+1\\0&2&2e+2\\0&0&3\end{pmatrix}=AT=TD=\begin{pmatrix}1&2b&3c\\0&2&3e\\0&0&3\end{pmatrix}$ less "crude" or dull.

We can now solve for $b,c,e$ - first solve for $b,e$ then using these solve for $c$ - and get a unique solution. Now you have an upper triangular transition matrix with only $1$s in the diagonal (actually the unique such transition matrix) for $A$ and $B$.

Summary: Solve the equation $AT=TB$ for $T$ in an informed way making some heuristic assumptions on the way that cuts down on the indeterminants. Get a rather simple linear system in just 3 unknowns. Be happy that we were lucky enough to succeed.

Pro: No mention of eigenstuff, not even hidden away from the proof/computation checker.

Con: As examples show this may fail terribly in general. You could still fall back to the "crude" system of equations in 9 unknowns.

Upshot: There is a reason why mathematicians developed eigenvalues and (generalized) eigenvectors, since this theory is guaranteed to work in general and compared to huge systems of equations has reasonable computational cost. Eigencomputations might be tedious, but compared to alternatives they are relatively efficient.

Thomas Preu
  • 2,002
  • Maybe that is all he meant: solve the matrix equation $AT = TB$ for the transition matrix $T$. And I am just reading into it by trying to find $T$ using bases or as a change-of-basis matrix. – Ungar Linski Aug 03 '22 at 12:13
  • By "crude" I meant that it is only symbol pushing and does not offer any insight into what's going on that makes them similar other than that the matrix equation has a solution so they're similar. I mean it doesn't seam to get to heart of why they're similar. I must be overthinking this, and the problem is only testing us on the definition of similarity or something and the definition of equality of matrices. – Ungar Linski Aug 03 '22 at 12:16
  • I don't know, maybe there is some deep conceptual method which I am not aware of. If it makes you happy, my answer refers to "subalgebra of upper triangular matrices" and that "a product of upper triangular matrices where one has only 1s in the diagonal preserves the diagonal of the other upper triangular matrix" to cut down from 9 to 3 in the unknowns, which is at least some conceptual insight used in the process. – Thomas Preu Aug 03 '22 at 12:22
1

I also know that I could set up a system of equations to solve for the entries of $S$ like $AS=SB$, but that strikes me as crude.

Crude as it may be, it's certainly doable.

$$S = \begin{bmatrix}a & b & c \\ d & e & f \\ g & h & j\end{bmatrix}$$ $$AS = \begin{bmatrix}a + d + g & b + e + h & c + f + j \\ 2 d + 2 g & 2 e + 2 h & 2 f + 2 j \\ 3 g & 3 h & 3 j\end{bmatrix}$$ $$SB = \begin{bmatrix}a & 2b & 3c \\ d & 2e & 3f \\ g & 2h & 3j\end{bmatrix}$$

From the bottom row, we have $3g = g$ and $3h = 2h$, which means $g = 0$ and $h = 0$.

$$\begin{bmatrix}a + d & b + e & c + f + j \\ 2 d & 2 e & 2 f + 2 j \\ 0 & 0 & 3 j\end{bmatrix} = \begin{bmatrix}a & 2b & 3c \\ d & 2e & 3f \\ 0 & 0 & 3j\end{bmatrix}$$

From the middle row, we have $2d = d \implies d = 0$, and $2f + 2j = 3f \implies f = 2j$.

$$\begin{bmatrix}a & b + e & c + 3j \\ 0 & 2 e & 6j \\ 0 & 0 & 3 j\end{bmatrix} = \begin{bmatrix}a & 2b & 3c \\ 0 & 2e & 6j \\ 0 & 0 & 3j\end{bmatrix}$$

And from the top row, we have $b + e = 2b \implies e = b$ and $c + 3j = 3c \implies 3j = 2c \implies j = \frac{2}{3}c$.

$$\begin{bmatrix}a & 2b & 3c \\ 0 & 2 e & 4c \\ 0 & 0 & 3 j\end{bmatrix} = \begin{bmatrix}a & 2b & 3c \\ 0 & 2e & 4c \\ 0 & 0 & 2c\end{bmatrix}$$

Putting this together, we have:

$$S = \begin{bmatrix}a & b & c \\ 0 & b & \frac{4}{3}c \\ 0 & 0 & \frac{2}{3}c\end{bmatrix}$$

Where $a$, $b$, and $c$ can be anything (except 0, if you want $S^{-1}$ to exist). I'll pick $a = 1$, $b = 1$ and $c = 3$.

$$S = \begin{bmatrix}1 & 1 & 3 \\ 0 & 1 & 4 \\ 0 & 0 & 2\end{bmatrix}$$

Dan
  • 14,978