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 effective rank




More Than Bits: Multi-Envelope Double Binary Factorization for Extreme Quantization

Ichikawa, Yuma, Fujisawa, Yoshihiko, Fujimoto, Yudai, Sakai, Akira, Fujisawa, Katsuki

arXiv.org Machine Learning

For extreme low-bit quantization of large language models (LLMs), Double Binary Factorization (DBF) is attractive as it enables efficient inference without sacrificing accuracy. However, the scaling parameters of DBF are too restrictive; after factoring out signs, all rank components share the same magnitude profile, resulting in performance saturation. We propose Multi-envelope DBF (MDBF), which retains a shared pair of 1-bit sign bases but replaces the single envelope with a rank-$l$ envelope. By sharing sign matrices among envelope components, MDBF effectively maintains a binary carrier and utilizes the limited memory budget for magnitude expressiveness. We also introduce a closed-form initialization and an alternating refinement method to optimize MDBF. Across the LLaMA and Qwen families, MDBF enhances perplexity and zero-shot accuracy over previous binary formats at matched bits per weight while preserving the same deployment-friendly inference primitive.


From Topology to Retrieval: Decoding Embedding Spaces with Unified Signatures

Rottach, Florian, Rudman, William, Rieck, Bastian, Scells, Harrisen, Eickhoff, Carsten

arXiv.org Artificial Intelligence

Studying how embeddings are organized in space not only enhances model interpretability but also uncovers factors that drive downstream task performance. In this paper, we present a comprehensive analysis of topological and geometric measures across a wide set of text embedding models and datasets. We find a high degree of redundancy among these measures and observe that individual metrics often fail to sufficiently differentiate embedding spaces. Building on these insights, we introduce Unified Topological Signatures (UTS), a holistic framework for characterizing embedding spaces. We show that UTS can predict model-specific properties and reveal similarities driven by model architecture. Further, we demonstrate the utility of our method by linking topological structure to ranking effectiveness and accurately predicting document retrievability. We find that a holistic, multi-attribute perspective is essential to understanding and leveraging the geometry of text embeddings.


Estimating the Effective Rank of Vision Transformers via Low-Rank Factorization

Zerihun, Liyu

arXiv.org Artificial Intelligence

Deep networks are heavily over-parameterized, yet their learned representations often admit low-rank structure. We introduce a framework for estimating a model's intrinsic dimensionality by treating learned representations as projections onto a low-rank subspace of the model's full capacity. Our approach: train a full-rank teacher, factorize its weights at multiple ranks, and train each factorized student via distillation to measure performance as a function of rank. We define effective rank as a region, not a point: the smallest contiguous set of ranks for which the student reaches 85-95% of teacher accuracy. To stabilize estimates, we fit accuracy vs. rank with a monotone PCHIP interpolant and identify crossings of the normalized curve. We also define the effective knee as the rank maximizing perpendicular distance between the smoothed accuracy curve and its endpoint secant; an intrinsic indicator of where marginal gains concentrate. On ViT-B/32 fine-tuned on CIFAR-100 (one seed, due to compute constraints), factorizing linear blocks and training with distillation yields an effective-rank region of approximately [16, 34] and an effective knee at r* ~ 31. At rank 32, the student attains 69.46% top-1 accuracy vs. 73.35% for the teacher (~94.7% of baseline) while achieving substantial parameter compression. We provide a framework to estimate effective-rank regions and knees across architectures and datasets, offering a practical tool for characterizing the intrinsic dimensionality of deep models.


The Spectral Dimension of NTKs is Constant: A Theory of Implicit Regularization, Finite-Width Stability, and Scalable Estimation

Shukla, Praveen Anilkumar

arXiv.org Artificial Intelligence

Modern deep networks are heavily overparameterized yet often generalize well, suggesting a form of low intrinsic complexity not reflected by parameter counts. We study this complexity at initialization through the effective rank of the Neural Tangent Kernel (NTK) Gram matrix, $r_{\text{eff}}(K) = (\text{tr}(K))^2/\|K\|_F^2$. For i.i.d. data and the infinite-width NTK $k$, we prove a constant-limit law $\lim_{n\to\infty} \mathbb{E}[r_{\text{eff}}(K_n)] = \mathbb{E}[k(x, x)]^2 / \mathbb{E}[k(x, x')^2] =: r_\infty$, with sub-Gaussian concentration. We further establish finite-width stability: if the finite-width NTK deviates in operator norm by $O_p(m^{-1/2})$ (width $m$), then $r_{\text{eff}}$ changes by $O_p(m^{-1/2})$. We design a scalable estimator using random output probes and a CountSketch of parameter Jacobians and prove conditional unbiasedness and consistency with explicit variance bounds. On CIFAR-10 with ResNet-20/56 (widths 16/32) across $n \in \{10^3, 5\times10^3, 10^4, 2.5\times10^4, 5\times10^4\}$, we observe $r_{\text{eff}} \approx 1.0\text{--}1.3$ and slopes $\approx 0$ in $n$, consistent with the theory, and the kernel-moment prediction closely matches fitted constants.


Exact Learning Dynamics of In-Context Learning in Linear Transformers and Its Application to Non-Linear Transformers

Mainali, Nischal, Teixeira, Lucas

arXiv.org Artificial Intelligence

Transformer models exhibit remarkable in-context learning (ICL), adapting to novel tasks from examples within their context, yet the underlying mechanisms remain largely mysterious. Here, we provide an exact analytical characterization of ICL emergence by deriving the closed-form stochastic gradient descent (SGD) dynamics for a simplified linear transformer performing regression tasks. Our analysis reveals key properties: (1) a natural separation of timescales directly governed by the input data's covariance structure, leading to staged learning; (2) an exact description of how ICL develops, including fixed points corresponding to learned algorithms and conservation laws constraining the dynamics; and (3) surprisingly nonlinear learning behavior despite the model's linearity. We hypothesize this phenomenology extends to non-linear models. To test this, we introduce theory-inspired macroscopic measures (spectral rank dynamics, subspace stability) and use them to provide mechanistic explanations for (1) the sudden emergence of ICL in attention-only networks and (2) delayed generalization (grokking) in modular arithmetic models. Our work offers an exact dynamical model for ICL and theoretically grounded tools for analyzing complex transformer training.




Effective Rank Analysis and Regularization for Enhanced 3D Gaussian Splatting

Neural Information Processing Systems

Despite its potential, 3DGS encounters challenges such as needle-like artifacts, suboptimal geometries, and inaccurate normals caused by the Gaussians converging into anisotropic shapes with one dominant variance.