Authors: Alexander Kozachinskiy, Vicente Opazo, Felipe Urrutia
Organizations: CENIA · Pontifical Catholic University of Chile
Abstract
We study information bottlenecks in modern deep-learning architectures -- RNNs, softmax transformers, linear-attention transformers and state-space models -- through the lens of the indexing primitive. In this primitive, the input consists of n bits and one integer i from 1 to n called the index, and the output equals the value of the i-th bit. We introduce causal complexity for masked architectures. We show that architectures with low causal complexity cannot solve the indexing primitive in any constant number of layers when the index appears at the end of the input. In particular, this limitation applies to low-parameter RNNs, SSMs and masked linear-attention transformers. In contrast, small softmax transformers can solve it in one layer, while non-masked linear-attention transformers can solve it in 2, which separates them from their masked counterparts. In turn, when the index appears at the beginning, we show that small RNNs are capable of solving this task in 1 layer, while all the other architectures require 2. All our impossibility results are unconditional and apply even to models that employ infinite-precision real arithmetic. Moreover, experiments for up to n=64 qualitatively align with our theory: configurations with low-parameter theoretical solutions learn the indexing task easily, while configurations that do not admit such theoretical solutions struggle to learn as the sequence length grows.
Mechanistic studies of sequence models often treat layerwise state encodings as architectural traits: recurrent models concentrate readable state, attention-based models distribute it. We find that the same architecture reverses this profile when the task changes. Across Transformers, Mamba, Mamba-2, LSTMs, and GRUs, Parity is concentrated late in Mamba and the recurrent baselines and built gradually by Transformer; on bounded-depth Dyck-k the pattern flips. The same flip appears in fine-tuned Mamba-130M and Pythia-160M, and the Pythia Dyck bottleneck persists at 410M. Two explanations are conflated in the literature: algebraic structure (commutativity) versus computational structure (prefix update vs. stack). To separate them we add a third task: non-commutative S_3 permutation composition. S_3 groups with Parity, not Dyck, on layerwise probing across all five architectures and on Mamba-specific Conv1D attribution, so the grouping tracks computational structure rather than commutativity. Causal interventions show that, in the 4-layer formal models, linearly readable directions are often functionally necessary and can remain important at out-of-distribution lengths on Parity and Dyck. At pretrained scale the picture splits. Fine-tuned Pythia Dyck has a strong middle-layer bottleneck (L6-L7 ablation drops accuracy by roughly 81% at 160M; broader L4-L18 plateau at 410M), far weaker at the best-probe layer. Pretrained Mamba shows the complementary failure mode: its final layer is highly readable, no single probe direction breaks the task on Parity, Dyck, or S_3, yet mid-position activation patching there recovers about 97-98% of the clean-corrupted logit gap. Probing localizes where state is linearly available, not always where the computation is bottlenecked. Mechanistic signatures are properties of architecture and task together.
What types of decision problems can a causally masked, finite-precision transformer solve for inputs of arbitrary length? Existing answers often rely on idealized arithmetic, but under finite precision, rounding and evaluation order can change what information attention retains and therefore what the model can compute. We develop an algebraic formalization that derives expressivity directly from the model's implemented dynamics. Its central object is its memory; the finite internal state computed by attention that summarizes the information from the prefix available to all future queries. Each attention head updates its own state independently within a layer, while layers compose hierarchically, providing a uniform route from model assumptions to expressivity bounds. Applying this method to transformers without positional embeddings, we obtain an expressivity hierarchy governed by the attention type under specific numerical semantics. Width-one sliding-window attention supports bounded-suffix memory, while a modified form of soft attention supports irreversible, checklist-like state, and combining the two mechanisms provides an interplay of both. Ordinary left-to-right floating-point soft attention can realize more expressive memory operations than any of the above. Algebraically, the four cases correspond to definite, R-trivial, locally R-trivial, and aperiodic semigroups. Under an explicit free-wiring assumption, all four bounds are tight.
Transformer-based large language models are in some respects limited by the quadratic time and space computational complexity of attention. We introduce the Toeplitz MLP Mixer (TMM), a transformer-like architecture that swaps attention for triangular-masked Toeplitz matrix multiplication over the sequence dimension resulting in O(dnlogn) time and O(dn) space complexity during training and O(dn) time and space at inference prefill. Despite the lack of sophisticated input modulation or state maintenance present in other sub-quadratic architectures, TMMs yield greater training efficiency in terms of loss achieved per compute and device memory. We demonstrate that TMMs are capable of retaining more input information resulting in improved copying ability, which we argue results from a lack of architectural biases. Consistent with higher input information retention, TMMs exhibit superior information retrieval and in-context learning benchmark accuracy compared to comparable architectures. We conclude with an analysis from the perspective of operator index theory and show that, counterintuitively, trained Toeplitz layers of causal non-invertible models are more likely to be invertible or nearly so than models that are actually invertible over their inputs.