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arxiv: 2606.01335 · v1 · pith:6BGNQESYnew · submitted 2026-05-31 · 🧮 math.NA · cs.NA

Transpose-free linear algebra

Pith reviewed 2026-06-28 16:19 UTC · model grok-4.3

classification 🧮 math.NA cs.NA
keywords matrix-free methodsforward matvecsnon-identifiabilityquery lower boundsArnoldi iterationleast squaresnorm estimationrank-k approximation
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The pith

Without transpose access, forward matrix-vector products leave core problems like least squares non-identifiable and demand at least n queries for rank-k approximations.

A machine-rendered reading of the paper's core claim, the machinery that carries it, and where it could break.

The paper demonstrates that matrix-free algorithms restricted to forward matvecs encounter fundamental barriers in identifiability and efficiency. It shows that Arnoldi iteration can produce arbitrary projected norm sequences, providing no reliable spectral norm information. Distinct matrices can match on all forward queries yet differ in solutions for least squares, norm estimation, column subset selection, and local max volume. Quantitative lower bounds establish that near-optimal rank-k approximation requires at least n queries and Frobenius norm estimation to relative accuracy eps needs Omega(eps^{-2}) queries.

Core claim

In the transpose-free setting, the sequence of projected operator norms from Arnoldi can follow any nondecreasing curve, and distinct matrices can generate identical forward-query transcripts while having fundamentally different solutions to least squares, norm estimation, column subset selection, and local maximum volume problems; any algorithm computing a near-optimal rank-k approximation must use at least n queries.

What carries the argument

Non-identifiability results constructed from pairs of distinct matrices that agree on observed forward matvecs but differ in target quantities such as spectral norm or optimal low-rank factors.

If this is right

  • Arnoldi iteration yields no reliable information about the spectral norm of the matrix.
  • Estimating the Frobenius norm to relative accuracy eps requires Omega(eps^{-2}) queries for large n.
  • Some linear algebra problems remain solvable without transpose access, but many core tasks become unidentifiable or inefficient.
  • Any near-optimal rank-k approximation algorithm requires at least n forward matvec queries.

Where Pith is reading between the lines

These are editorial extensions of the paper, not claims the author makes directly.

  • Applications relying on matrix-free methods without adjoints, such as certain inverse problems, may need to incorporate additional information or accept higher computational costs.
  • The distinction between forward-only and full-access settings could guide whether to use transpose-free solvers in specific operator-learning tasks.
  • Randomized estimators for norms may still achieve their known rates but cannot overcome the identifiability barrier for exact recovery of other quantities.

Load-bearing premise

There exist distinct matrices that produce identical forward matvec outputs for all queried vectors yet differ in the solutions to the target problems.

What would settle it

An explicit algorithm that computes a near-optimal rank-k approximation using fewer than n forward matvec queries on matrices where the non-identifiability construction applies.

Figures

Figures reproduced from arXiv: 2606.01335 by Alex Townsend, Diana Halikias, Michiel E. Hochstenbach.

Figure 1
Figure 1. Figure 1: A comparison of the approximation of the largest and smallest singular values [PITH_FULL_IMAGE:figures/full_fig_p014_1.png] view at source ↗
Figure 2
Figure 2. Figure 2: Approximation of the largest and smallest singular values versus the number of [PITH_FULL_IMAGE:figures/full_fig_p015_2.png] view at source ↗
read the original abstract

We study the limitations of matrix-free algorithms that access a matrix $A$ only through forward matrix-vector products (matvecs) $x \mapsto Ax$, without access to the transpose $A^\top$ or its action. This setting arises naturally in operator learning, inverse problems, and matrix-free PDE solvers, where adjoint evaluations may be unavailable or prohibitively expensive. We show that the lack of transpose access creates severe and sometimes insurmountable theoretical barriers. For Krylov methods, we prove that the sequence of projected operator norms produced by Arnoldi iteration can follow any prescribed nondecreasing curve, showing that forward matvecs alone provide essentially no reliable information about the spectral norm. For several core problems, including least squares, norm estimation, column subset selection, and local maximum volume, we establish non-identifiability results; distinct matrices can generate identical forward-query transcripts while having fundamentally different solutions. We also prove quantitative lower bounds on the number of forward matvecs required for approximation tasks. In particular, any algorithm that computes a near-optimal rank-$k$ approximation must use at least $n$ queries, and estimating the Frobenius norm to relative accuracy $\eps$ requires $\Omega(\eps^{-2})$ queries when $n$ is sufficiently large, matching the complexity of Hutchinson-type estimators up to constants. Although some problems remain solvable without transpose access, the transpose-free setting is fundamentally more limited in both identifiability and efficiency.

Editorial analysis

A structured set of objections, weighed in public.

Desk editor's note, referee report, simulated authors' rebuttal, and a circularity audit. Tearing a paper down is the easy half of reading it; the pith above is the substance, this is the friction.

Referee Report

2 major / 2 minor

Summary. The paper studies limitations of matrix-free algorithms accessing a matrix only via forward matvecs without transpose access. It proves that Arnoldi iteration projected norms can follow any nondecreasing curve, establishes non-identifiability for least squares, norm estimation, column subset selection and local max-volume problems (distinct matrices yield identical query transcripts but different solutions), and derives quantitative lower bounds including at least n forward matvecs for near-optimal rank-k approximation and Ω(ε^{-2}) queries for relative Frobenius norm estimation to accuracy ε.

Significance. If the lower bounds hold for general (including adaptive) algorithms, the results would be significant for operator learning, inverse problems and matrix-free PDE solvers by establishing fundamental identifiability and query-complexity barriers in the transpose-free setting. Credit is due for deriving all results from standard linear-algebra constructions and query-model arguments with no free parameters, self-referential definitions or invented entities.

major comments (2)
  1. [Abstract and non-identifiability results] Abstract and the non-identifiability section: the claim that 'any algorithm' computing a near-optimal rank-k approximation requires at least n queries rests on non-identifiability via distinct matrices agreeing on forward-query transcripts. The constructions appear to use a fixed collection of at most n-1 vectors; this does not automatically extend to adaptive algorithms, which could select subsequent vectors to elicit differing responses and distinguish the instances. A minimax or adaptive-adversary argument is needed to close the gap for the stated 'any algorithm' lower bound.
  2. [Krylov methods section] The Arnoldi-norm result (that projected operator norms can follow any prescribed nondecreasing curve) is invoked to show forward matvecs provide no reliable spectral-norm information. The proof sketch should be checked for whether it holds under the exact arithmetic model used elsewhere or requires additional assumptions on the query model.
minor comments (2)
  1. [Introduction] Notation for the forward-query transcript and the precise definition of 'near-optimal' rank-k approximation should be introduced earlier and used consistently.
  2. [Norm estimation section] The Frobenius-norm lower bound is stated to match Hutchinson-type estimators up to constants; an explicit constant comparison or reference to the matching upper bound would strengthen the claim.

Simulated Author's Rebuttal

2 responses · 0 unresolved

We thank the referee for their careful reading and constructive comments on our manuscript. We address each major comment below and indicate the corresponding revisions.

read point-by-point responses
  1. Referee: [Abstract and non-identifiability results] Abstract and the non-identifiability section: the claim that 'any algorithm' computing a near-optimal rank-k approximation requires at least n queries rests on non-identifiability via distinct matrices agreeing on forward-query transcripts. The constructions appear to use a fixed collection of at most n-1 vectors; this does not automatically extend to adaptive algorithms, which could select subsequent vectors to elicit differing responses and distinguish the instances. A minimax or adaptive-adversary argument is needed to close the gap for the stated 'any algorithm' lower bound.

    Authors: We acknowledge the referee's observation on the query model. Our non-identifiability construction for the rank-k approximation lower bound is presented via a fixed collection of vectors. To rigorously support the claim for arbitrary algorithms (including adaptive ones), we will revise the argument by adding an adaptive-adversary construction: for any adaptively chosen sequence of at most n-1 vectors, there exist distinct matrices that produce identical forward matvec responses yet admit different near-optimal rank-k approximations. This minimax-style extension will be incorporated into the revised manuscript. revision: yes

  2. Referee: [Krylov methods section] The Arnoldi-norm result (that projected operator norms can follow any prescribed nondecreasing curve) is invoked to show forward matvecs provide no reliable spectral-norm information. The proof sketch should be checked for whether it holds under the exact arithmetic model used elsewhere or requires additional assumptions on the query model.

    Authors: The Arnoldi-norm result is established under the exact arithmetic model that is used consistently throughout the paper. The proof proceeds via explicit matrix constructions in which the Arnoldi process yields the prescribed nondecreasing norm sequence without any appeal to floating-point arithmetic or inexact queries. We will insert a clarifying sentence in the revised version to state explicitly that the argument relies only on exact arithmetic and is consistent with the query model employed in the remainder of the manuscript. revision: yes

Circularity Check

0 steps flagged

No circularity; derivations rely on standard query-model and linear-algebra constructions

full rationale

The paper derives non-identifiability results and query lower bounds (e.g., n queries for near-optimal rank-k approximation, Ω(ε^{-2}) for Frobenius norm) from explicit matrix constructions that agree on forward matvecs yet differ in target quantities, plus standard information-theoretic adversary arguments. No parameters are fitted to data inside the paper, no result is defined in terms of itself, and no load-bearing step reduces to a self-citation or ansatz smuggled from prior work by the same authors. The central claims remain independent of the paper's own outputs.

Axiom & Free-Parameter Ledger

0 free parameters · 2 axioms · 0 invented entities

The paper relies on standard linear algebra facts and the query model; no free parameters, new entities, or ad-hoc axioms are introduced.

axioms (2)
  • standard math Matrix-vector multiplication is linear and associative in the standard sense.
    Invoked throughout the Arnoldi and query-transcript arguments.
  • domain assumption There exist distinct matrices that produce identical sequences of forward matvecs.
    Central premise enabling all non-identifiability claims.

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