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This question arose in the comments to this question.

Let $X$ be the set of pairs $(m,k)$ such that there is some (consistent complete countable first-order) theory $T$ with exactly $m$ models of size $\aleph_k$ up to isomorphism. For example, Vaught's never-two theorem says that $(a,0)\in X$ iff $a\not=2$, but leaves open the behavior of $X$ for larger values of $k$.

One natural question here is whether $X$ admits a simple description in any sense:

Is $X$ computable?

Lachlan's Theories with a finite number of models in an uncountable power are categorical, building on prior work by Baldwin, Lachlan, and Shelah, seems very relevant but I'm not familiar enough with the material to extract an answer.

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  • $\begingroup$ Alex Kruckman sketched an argument to me that you only need to check finitely many finite groups to determine whether $(m,k)$ is in $X$, which would imply that it is computable. He should probably write the answer though, since I'm not fully comfortable with the relevant group-theoretic result. $\endgroup$ Commented Sep 6, 2023 at 19:20
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    $\begingroup$ The question that I had been meaning to ask on MO (which has some overlap with this one) is whether there's a nicer characterization of $X$ than merely doing a brute force search through the collection of all finite groups of sufficiently large size. $\endgroup$ Commented Sep 6, 2023 at 19:22

2 Answers 2

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Let $T$ be a complete countable first-order theory. I will write $I(T,\kappa)$ for the number of models of $T$ of cardinality $\kappa$ up to isomorphism. The function $I(T,-)$ is called the spectrum of $T$. The possible spectra are completely understood (for uncountable $\kappa$), see The uncountable spectra of countable theories by Hart, Hrushovski, and Laskowski). For background, I'll sketch what's going on in the cases when some $I(T,\kappa)$ is finite, and then I'll show that the set $X$ is computable.

  • As noted in the question, $I(T,\aleph_0)$ can be any natural number except $2$. A theory $T$ with $1 < I(T,\aleph_0) < \aleph_0$ is called an Ehrenfeucht theory. It's a theorem of Lascar that no Ehrenfeucht theory is superstable, and it's a theorem of Shelah that if $T$ is not superstable, then $I(T,\kappa) = 2^\kappa$ for all uncountable $\kappa$.
  • Morley showed that if $I(T,\kappa) = 1$ for some uncountable $\kappa$, then $I(T,\lambda) = 1$ for all uncountable $\lambda$. Such theories are called uncountably categorical, and if $T$ is uncountably categorical, then $I(T,\aleph_0) = 1$ or $\aleph_0$.
  • By a theorem of Shelah (generalizing Morley, who handled the case of $I(T,\kappa) = 1$), if $\kappa$ is uncountable and $I(T,\kappa)$ is finite, then $T$ is $\omega$-stable. By another theorem of Shelah, if $T$ is $\omega$-stable but not uncountably categorical, then $I(T,\aleph_\alpha)\geq |\alpha+1|$.
  • By the last point, if $1 < I(T,\kappa) < \aleph_0$, with $\kappa$ uncountable, then $T$ is $\omega$-stable and $\kappa = \aleph_k$ for some finite $k$. Lachlan built on Shelah's work by showing that in this case, there is some finite $d>1$ such that models of $T$ are determined up to isomorphism by the dimensions of $d$ strongly minimal sets. (This directly generalizes the classification of models in the uncountably categorical case, where the isomorphism type of a model is determined by the dimension of $d = 1$ strongly minimal set.)

More precisely, Lachlan showed that the countable prime model $M\models T$ contains $d$ strongly minimal sets, say with dimensions $(\mu_1,\dots,\mu_d)$ in the prime model, and for any sequence of cardinals $(\mu_1',\dots,\mu_d')$ with $\mu_i\leq \mu_i'$, there is an elementary extension of $M$ of cardinality $\max(\mu_1',\dots,\mu_d')$ in which the $d$ strongly minimal sets have dimensions $(\mu_1',\dots,\mu_d')$, and if two models have the same $d$-tuple of dimensions, then they are isomorphic.

It follows that all the $\mu_i$ are $\aleph_0$ (otherwise, if say $\mu_1$ was finite, we could get infinitely many models of size $\aleph_k$ by allowing $\mu_1'$ to range through the finite cardinals greater than $\mu_1$ and fixing the other $\mu_i'$ at $\aleph_k$), and hence $I(T,\aleph_0) = 1$ (since the prime model is the unique countable model of $T$).

Now the models of $T$ of cardinality less than $\aleph_k$ can be classified by a $d$-tuple of infinite cardinals $< \aleph_k$, which we can code by an element of $k^d$. But there's an additional hitch: the automorphism group of the prime model might act non-trivially on the $d$ strongly minimal sets. So associated to $T$, we have a subgroup $G$ of $S_d$, and the number of models of $T$ of cardinality less than $\aleph_k$ is equal to the number of orbits of the natural action of $G$ on $k^d$ (by permuting the indices of the $d$-tuple from $k$). Further, given any subgroup $G$ of $S_d$, we can cook up a theory whose models are classified in this way: basically, we find a finite structure $A$ of size $d$ whose automorphism group is $G$, and then consider the theory of an equivalence relation with $d$ classes, each of which is infinite, and equip the quotient with the structure of $A$.

All of this is laid out in two papers by Lachlan: Theories with a finite number of models in an uncountable power are categorical, which one you linked to in your question, and Spectra of $\omega$-stable theories. See especially Section 3 of the latter paper for the description in terms of finite permutation groups and the construction of a theory from a group. These papers also contains references to all the facts I mentioned above. See also Theorem IV.10 in Pillay's The models of a non-multidimensional $\omega$-stable theory.


To count the orbits of the natural action of $G\leq S_d$ on $k^d$, we can note that an element of $k^d$ is fixed by $\sigma\in S_d$ if and only if it is constant on each of the orbits of the action of $\sigma$ on $d$. Write $o(\sigma)$ for the number of such orbits. By Burnside's Lemma, the number of orbits of the action of $G$ on $k^d$ is $$\frac{1}{|G|}\sum_{\sigma\in G} k^{o(\sigma)},$$ which is a polynomial $p_G(k)$ in $k$ of degree $d$ (since the maximum $o(\sigma)$ is $o(\mathrm{id}) = d$) with positive coefficients and no constant term. Note also that $p_G(0) = 0$ and $p_G(1) = 1$. Writing $q_G(k) = p_G(k+1)-p_G(k)$, if the group associated to $T$ is $G$, then $I(T,\aleph_k) = q(k)$, which is also a polynomial in $k$ with positive coefficients.

Note that for fixed $k$ and $d$, the group $G$ that gives the fewest models is the entire symmetric group $S_d$. We have $p_{S_d}(k) = {k+d-1 \choose d}$ (the number of ways to make $d$ choices from $k$ elements with repetitions allowed), so $$q_{S_d}(k) = {k+d \choose d} - {k+d-1 \choose d} = {k+d-1\choose d-1} = {k+d-1 \choose k}.$$

This function is increasing in $d$, and it follows that $X$ is computable. To determine whether $(m,k)\in X$ with $k\geq 1$, pick $d$ large enough such that $m < q_{S_d}(k) = {k+d-1 \choose k}$, enumerate all subgroups $G$ of $S_{d'}$ for all $d'<d$, and check whether $q_G(k) = m$ for any of these groups. [And when $k = 0$, $(m,k)\in X$ if and only if $m\neq 2$].


For example, since $q_{S_d}(1)={1+d-1\choose 1}=d$, every natural number $m$ can occur as $I(T,\aleph_1)$ for some $T$ (explicitly, the theory of an equivalence relation with $m$ classes, all of which are infinite - the models of size $\aleph_1$ are determined up to isomorphism by how many classes are uncountable)

Since $q_{S_4}(2) = {2+4-1\choose 2} = {5 \choose 2} = 10$, and $q_{S_4}(3) = {3+4-1\choose 3} = {6 \choose 3} = 20$, to determine which numbers less than $10$ occur as $I(T,\aleph_2)$ for some $T$, or to determine which numbers less than $20$ occur as $I(T,\aleph_3)$ for some $T$, we only have to consider subgroups of $S_3$.

Looking at theories whose associated groups are $S_1$, $S_2$, the trivial subgroup of $S_2$, $S_3$, $A_3$, an order $2$ subgroup of $S_3$, and the trivial subgroup of $S_3$, in that order, we obtain:

  • For $\aleph_2$: $1$, $3$, $5$, $6$, $7$, $12$, or $19$ models. (Note that this list is only complete for the numbers less than $10$.)
  • For $\aleph_3$: $1$, $4$, $7$, $10$, $13$, $22$, or $37$ models. (Note that this list is only complete for the numbers less than $20$.)

So (assuming I have done my computations correctly), no complete countable first-order theory $T$ has $I(T,\aleph_2) = 2$, $4$, $8$, or $9$, and the only numbers less than $20$ that occur as $I(T,\aleph_3)$ for some countable complete first-order theory $T$ are $1$, $4$, $7$, $10$, and $13$.


The question James raised in the comments, about whether the numbers that occur as $p_G(k)$ or $q_G(k)$ can be characterized in some nicer way that doesn't involve enumerating all finite permutation groups, is also interesting.

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    $\begingroup$ This is fascinating. Wasn't aware of anything like this. $\endgroup$ Commented Sep 7, 2023 at 15:27
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This is really an addendum to Alex's answer. I wrote a program in SageMath (using GAP) that computes these numbers, so I was able to expand Alex's lists considerably. Each of these lists should be complete in the sense that there are no missing numbers less than the last number on the list.

  • $\aleph_2$: 1, 3, 5, 6, 7, 10, 12, 15, 18, 19, 20, 21, 22, 25, 27, 28, 31, 35, 36, 42, 43, 45, 46, 47, 48, 50, 51, 54, 55, 56, 60, 65, 66, 67, 68, 70, 73, 74, 75, 78, 79, 83, 84, 85, 90, 91,...

  • $\aleph_3$: 1, 4, 7, 10, 13, 20, 21, 22, 34, 35, 37, 46, 49, 50, 52, 56, 63, 64, 65, 84, 91, 95, 97, 99, 105, 106, 120, 140, 155, 157, 161, 164, 165, 174, 175, 183, 204, 208, 210, 211, 220, 223, 230, 232, 234, 252, 260, 264, 266, 270, 285, 286,...

  • $\aleph_4$: 1, 5, 9, 15, 21, 35, 39, 61, 65, 70, 71, 95, 99, 125, 126, 129, 166, 189, 210, 215, 231, 241, 291, 325, 330, 369, 380, 401, 406, 411, 420, 421, 435, 459, 460, 465, 495, 545, 555, 560, 571, 624, 666, 700, 701, 714, 715, 725, 729, 735, 741, 744, 765, 795, 825, 909, 924, 1001,...

  • $\aleph_5$: 1, 6, 11, 21, 31, 51, 56, 66, 91, 111, 126, 131, 161, 171, 176, 216, 231, 252, 253, 261, 341, 377, 381, 406, 462, 471, 511, 651, 671, 693, 786, 792, 851, 882, 913, 921, 931, 966, 1091, 1111, 1121, 1141, 1191, 1231, 1287, 1426, 1521, 1551, 1596, 1611, 1722, 1728, 1767, 1771, 1836, 1891, 1911, 1966, 2002, 2156, 2211, 2371, 2522, 2661, 2681, 2761, 2786, 3003,...

  • $\aleph_6$: 1, 7, 13, 28, 43, 70, 84, 104, 127, 175, 210, 225, 252, 280, 286, 343, 377, 462, 468, 490, 559, 616, 714, 777, 869, 924, 925, 967, 1105, 1176, 1456, 1469, 1611, 1716, 1722, 1736, 1807, 1833, 1974, 2100, 2289, 2296, 2353, 2379, 2394, 2842, 3003, 3095, 3164, 3234, 3380, 3696, 3739, 3744, 3892, 3899, 3920, 4214, 4235, 4439, 4579, 4745, 5005, 5068, 5629, 5740, 5754, 6076, 6201, 6237, 6517, 6929, 7260, 7267, 7644, 7657, 7995, 8008,...

The $\aleph_2$ list is actually considerably harder to compute than the others, which are all roughly comparable, so there's no particular reason I stopped at $\aleph_6$.

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  • $\begingroup$ What makes the $\aleph_2$-list specifically hard? $\endgroup$ Commented Sep 9, 2023 at 1:38
  • $\begingroup$ I'm shooting for lists of roughly equal length. The polynomial values get more spread out as you go to higher $k$. This means that at $k=2$, there's a lot of collision and I need to search through permutation groups of higher degree to get similar numbers of terms. $\endgroup$ Commented Sep 9, 2023 at 1:43
  • $\begingroup$ All of the other lists are searching permutation groups of degree at most 10 (with the least value for degree 11 added by hand), and these take about 45 seconds on my computer. The list for $\aleph_2$ is searching up to (I think) degree 13 and it takes roughly 25 minutes on my computer (although the code is certainly far from optimal). $\endgroup$ Commented Sep 9, 2023 at 1:46
  • $\begingroup$ Also I guess maybe the minimum number for a given degree grows slowly, so you also do a lot of wasted searching finding numbers bigger than the point you're shooting for. This is possibly something that could be optimized, but I'm not really sure how. $\endgroup$ Commented Sep 9, 2023 at 1:49

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