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In this paper, we propose a new methodology for state constrained stochastic optimal control (SOC) problems. The solution is based on past work in solving SOC problems using forward-backward stochastic differential equations (FBSDE). Our…

Systems and Control · Electrical Eng. & Systems 2021-04-07 Bolun Dai , Prashanth Krishnamurthy , Andrew Papanicolaou , Farshad Khorrami

This paper proposes two algorithms for solving stochastic control problems with deep learning, with a focus on the utility maximisation problem. The first algorithm solves Markovian problems via the Hamilton Jacobi Bellman (HJB) equation.…

Computational Finance · Quantitative Finance 2024-10-15 Ashley Davey , Harry Zheng

We develop dual approaches for continuous-time stochastic control problems, enabling the computation of robust dual bounds in high-dimensional state and control spaces. Building on the dual formulation proposed in [L. C. G. Rogers, SIAM…

Optimization and Control · Mathematics 2026-04-10 Mathieu Laurière , Jiefei Yang

Computationally efficient surrogates for parametrized physical models play a crucial role in science and engineering. Operator learning provides data-driven surrogates that map between function spaces. However, instead of full-field…

Machine Learning · Computer Science 2024-12-31 Daniel Zhengyu Huang , Nicholas H. Nelsen , Margaret Trautner

This paper formalizes Hamiltonian-Informed Optimal Neural (Hion) controllers, a novel class of neural network-based controllers for dynamical systems and explicit non-linear model-predictive control. Hion controllers estimate future states…

Systems and Control · Electrical Eng. & Systems 2025-07-30 Josue N. Rivera , Dengfeng Sun

A novel batch sequential quadratic Hamiltonian (bSQH) algorithm for training convolutional neural networks (CNNs) with $L^0$-based regularization is presented. This methodology is based on a discrete-time Pontryagin maximum principle (PMP).…

Optimization and Control · Mathematics 2025-08-26 Sebastian Hofmann , Alfio Borzì

This paper addresses the optimal control problem of finite-horizon discrete-time nonlinear systems under state and control constraints. A novel numerical algorithm based on optimal control theory is proposed to achieve superior…

Optimization and Control · Mathematics 2025-03-21 Chuanzhi Lv , Hongdan Li , Huanshui Zhang

We introduce the Pontryagin-Guided Direct Policy Optimization (PG-DPO) framework for high-dimensional continuous-time portfolio choice. Our approach combines Pontryagin's Maximum Principle (PMP) with backpropagation through time (BPTT) to…

Portfolio Management · Quantitative Finance 2025-09-12 Jeonggyu Huh , Jaegi Jeon , Hyeng Keun Koo , Byung Hwa Lim

While Hamiltonian mechanics provides a powerful inductive bias for neural networks modeling dynamical systems, Hamiltonian Neural Networks and their variants often fail to capture complex temporal dynamics spanning multiple timescales. This…

Machine Learning · Computer Science 2026-03-17 Yaojun Li , Yulong Yang , Christine Allen-Blanchette

This paper introduces an operator-based neural network, the mirror-padded Fourier neural operator (MFNO), designed to learn the dynamics of stochastic systems. MFNO extends the standard Fourier neural operator (FNO) by incorporating mirror…

Machine Learning · Computer Science 2025-07-25 Wonjae Lee , Taeyoung Kim , Hyungbin Park

Infinite-time nonlinear optimal regulation control is widely utilized in aerospace engineering as a systematic method for synthesizing stable controllers. However, conventional methods often rely on linearization hypothesis, while recent…

Systems and Control · Electrical Eng. & Systems 2025-06-13 Han Wang , Di Wu , Lin Cheng , Shengping Gong , Xu Huang

This paper develops algorithms for high-dimensional stochastic control problems based on deep learning and dynamic programming. Unlike classical approximate dynamic programming approaches, we first approximate the optimal policy by means of…

Probability · Mathematics 2021-09-21 Côme Huré , Huyên Pham , Achref Bachouch , Nicolas Langrené

We propose a machine learning algorithm for solving finite-horizon stochastic control problems based on a deep neural network representation of the optimal policy functions. The algorithm has three features: (1) It can solve…

General Economics · Economics 2024-12-09 Xianhua Peng , Steven Kou , Lekang Zhang

Neural network approaches that parameterize value functions have succeeded in approximating high-dimensional optimal feedback controllers when the Hamiltonian admits explicit formulas. However, many practical problems, such as the space…

Optimization and Control · Mathematics 2025-10-08 Eric Gelphman , Deepanshu Verma , Nicole Tianjiao Yang , Stanley Osher , Samy Wu Fung

We develop a novel framework for uncertainty quantification in operator learning, the Stochastic Operator Network (SON). SON combines the stochastic optimal control concepts of the Stochastic Neural Network (SNN) with the DeepONet. By…

Machine Learning · Computer Science 2026-03-17 Ryan Bausback , Jingqiao Tang , Lu Lu , Feng Bao , Toan Huynh

It is well-known that decision-making problems from stochastic control can be formulated by means of a forward-backward stochastic differential equation (FBSDE). Recently, the authors of Ji et al. 2022 proposed an efficient deep learning…

Optimization and Control · Mathematics 2024-08-01 Zhipeng Huang , Balint Negyesi , Cornelis W. Oosterlee

This paper build on our recent work where we presented a dual stochastic optimal control formulation of the nonlinear filtering problem [1]. The constraint for the dual problem is a backward stochastic differential equations (BSDE). The…

Optimization and Control · Mathematics 2021-11-02 Jin Won Kim , Prashant G. Mehta

In this paper,we mainly focus on the numerical solution of high-dimensional stochastic optimal control problem driven by fully-coupled forward-backward stochastic differential equations (FBSDEs in short) through deep learning. We first…

Optimization and Control · Mathematics 2024-08-21 Shaolin Ji , Shige Peng , Ying Peng , Xichuan Zhang

We present a Pontryagin-Guided Direct Policy Optimization (PG-DPO) framework for Merton's portfolio problem, unifying modern neural-network-based policy parameterization with the adjoint viewpoint from Pontryagin's maximum principle (PMP).…

Optimization and Control · Mathematics 2025-01-14 Jeonggyu Huh , Jaegi Jeon

We mathematically analyze and numerically study an actor-critic machine learning algorithm for solving high-dimensional Hamilton-Jacobi-Bellman (HJB) partial differential equations from stochastic control theory. The architecture of the…

Optimization and Control · Mathematics 2026-05-20 Samuel N. Cohen , Jackson Hebner , Deqing Jiang , Justin Sirignano