The harmonic practices of the late romantic period are often discussed in general terms, categorical phrases, and a score of subjectivisms characteristic of the era. It is the purpose of this thesis to clarify certain aspects of the harmonic vocabulary which developed in the late romantic period.

Born April 2, 1873, on the estate of Oneg in the province of Novgorod, Russia, Sergei Vassilyvitch Rachmaninoff was the fifth of the six children of Vassili and Lyoubov Boutakova Rachmaninoff. Rachmaninoff's aristocratic descent was traced to the Hospodars Dragosh, rulers of the realm of Molday from the fourteenth to the sixteenth century. One of the daughters from this family had married a son of the Grand Duke Ivan III of Moscow. The son's nephew was named Rachmanin, and from this source the family name originated.1 Rachmaninoff's mother was the daughter of a general, head of Araktcheyev Military College in Novgorod and the owner of a number of estates in the district. It was with a dowry of five of these estates that Lyoubov Boutakova married Vassili Rachmaninoff, and on one of these estates, Oneg, the couple settled down to married life.

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Für die musikalische Analyse ist Klang eine problematische Kategorie, fehlt es doch an genauen begrifflichen Bestimmungen. Diese werden im Rahmen der Sound Studies im Bereich der populären Musik bereitgestellt. Am Beispiel der jeweils ersten Sätze des Klarinettentrios op. 114 und des Klarinettenquintetts op. 115 von Brahms wird versucht, den in Bezug auf populäre Musik etablierten Klang-Begriff auf die Analyse klassischer Musik anzuwenden. Die Analyse soll verdeutlichen, wie die durch die Besetzung bestimmten klanglichen Voraussetzungen eines Werkes dessen musikalischen Charakter wie auch seine formale Anlage prägen. / For the analysis of music sound is a problematic category because of the lack of distinct definitions. Such definitions will be found within the context of Sound Studies of popular music. Using the example of the first movements from the Clarinet Trio op. 114 and the Clarinet Quintet op. 115 of Brahms this article seeks to adapt the concept of sound as established in popular music to the analysis of classical music. The analysis shall explain how sound as determined by instrumentation shapes the musical character and formal structure of both movements.

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Les sonates pour piano de la « génération romantique » (Rosen) et des compositeurs qui l’ont suivie s’éloignent des conventions qui régissent la forme classique, et ce à plusieurs égards : schéma tonal, découpage, fonctions formelles, voire même l’affect ou l’esthétique générale du mouvement. Lorsqu’il s’agit de sonates de jeunesse, ces écarts ont généralement été interprétés comme des maladresses ou comme un manque de métier. Cette thèse remet en question cette perspective et propose une démarche analytique permettant de rétablir ce répertoire dans sa spécificité en définissant une nouvelle conception esthétique de la sonate romantique. L’approche développée ici n’est pas fondée sur une construction musicale purement théorique : elle repose plutôt sur une conciliation entre, d’une part, les valeurs esthétiques caractéristiques de cette époque, et, d’autre part, l’analyse structurelle et formelle. Cette approche est exposée en deux grandes étapes. Les chapitres 1 et 2 parcourent les écrits philosophiques, littéraires, théoriques et critiques des années 1790-1860 pour y découvrir six valeurs esthétiques qui définissent la sonate au XIXe siècle : la forme abstraite, la cohérence à grande échelle, l’organicisme, la tension entre tradition et innovation, l’expression du sublime et celle de la noblesse. Les chapitres 3 à 5 emploient différentes techniques d’analyse (la Formenlehre de William Caplin, l’analyse réductionnelle de Heinrich Schenker et l’étude de l’organisation rythmique et métrique d’après Lester, Krebs et de Médicis) pour montrer comment ces six valeurs esthétiques permettent de rendre compte de la structure spécifique des oeuvres sélectionnées : la Sonate pour piano en mi majeur, op. 6 (1826), de Mendelssohn ; la Grande Sonate pour piano en fa dièse mineur, op. 11 (1832-1835), de Schumann ; la Grande Sonate pour piano en fa mineur, « Concert sans orchestre », op. 14 (1835-1836, rév. 1853), de Schumann ; et la Sonate pour piano en fa dièse mineur, op. 2, de Brahms (1852). Cette approche, qui permet d’appliquer la théorie de la forme à un répertoire pour lequel elle n’a pas a priori été conçue, met l’accent sur la souplesse du rapport entre le discours esthétique et la pratique compositionnelle. Chaque compositeur, sinon chaque oeuvre, répond aux valeurs esthétiques à divers degrés et selon différentes combinaisons. Au final, cette démarche permet de montrer à quel point les considérations esthétiques jouent un rôle primordial dans la conception même de la forme sonate au XIXe siècle. Elle ouvre de nouvelles perspectives en permettant de mieux cerner les points de contact et les divergences entre la sonate classique et la sonate romantique, et fournit des éléments qui permettront une comparaison plus légitime entre ces deux répertoires. / Piano sonatas written by composers from the ‘Romantic Generation’ (Rosen), as well as those from the following generation, tend to move away from the conventions of classical form in many ways: tonal plan, form, formal functions, and even the general affect or aesthetic of the movement. When the sonatas in question are early works, unconventional details are frequently interpreted as mistakes or the result of a lack of training. This dissertation challenges that perspective and develops an analytical approach that establishes the unique elements of this repertoire by defining a new aesthetic understanding of romantic sonata form. This approach is not based on a purely musical construct. Rather, it combines characteristic aesthetic values of the period with formal and structural analysis. The approach is presented in two stages. The first two chapters of the dissertation survey philosophical, literary, theoretical and critical texts from 1790 to 1860, uncovering six aesthetic values that define the sonata in the 19th century: abstract form, large-scale coherence, organicism, the opposition of tradition and innovation, an expression of the sublime and of nobility. Chapters 3 to 5 use different analytical methods (Caplin’s Formenlehre, Schenkerian linear analysis, and rhythmic analysis based on Lester, Krebs, and de Médicis) to illustrate how these six core aesthetic values illuminate the specific structures of four sonata-form movements: Mendelssohn’s Piano Sonata in E Major, op. 6 (1826), Schumann’s Piano Sonata in F-sharp Minor, op. 11 (1832-1835) and Piano Sonata in F Minor, “Concert sans orchestre”, op. 14 (1835-1836, rev. 1853), and Brahms’ Piano Sonata in F-sharp Minor, op. 2 (1852). This approach, which applies Caplin’s theory of form to a repertoire for which it was not originally developed, underscores the fluidity of the relationship between aesthetic discourse and compositional practice. Each composer, perhaps each individual work, responds to the aesthetic values in different ways and to varying degrees. In the end, this type of analysis shows how significant aesthetic considerations are in conceptualising sonata form in the 19th century. It broadens our perspective on form by better identifying the commonalities and divergences between classical and romantic sonata form, and provides elements that will allow a more accurate comparison of these two repertoires.

Although the current, exhaustive studies of Brahms' works have covered many aspects of the composer's art, it is still surprising that his large-scale, five-movement Piano Sonata No.3 has in many ways been insufficiently studied by scholars who have emphasized the genre of the piano sonata and the aspect of performance practice over the work's more diverse features. Another reason that this early work has been understudied could in fact be that his later compositions in other genres, such as his symphonies, chamber music or choral music, have been perceived by scholars to represent best his most mature, comprehensive style. This dissertation will therefore examine the orchestral underpinnings of this monumental work which owes most often its already mature artistic essence to Brahms' multi-instrumental approach.

The Grundgestalt (Ger: 'basic shape') is a term coined by Arnold Schoenberg to describe the basis for coherence within a musical composition. Although neither precisely defined, nor adequately supported by examples from his literature, the Grundgestalt remains an important facet of Schoenbergian theory. Composed of several gestalten that occur repeatedly, Schoenberg's Grundgestalt functions as a germinating factor within a piece that allows its motivic, thematic, and rhythmic information to become more accessible through their frequent repetition and diverse presentation. In addition to Schoenberg's definition, the first part of this dissertation discusses the individual findings of Schoenberg's pupils Josef Rufer and Rudolf Réti. Subsequently developed by the contributions of David Epstein, Walter Frisch, Patricia Carpenter, Michael Schiano, and Brent Auerbach, their combined efforts then attempt to illustrate the organicism of the Grundgestalt, to clarify its terminology, and to refine the framework of its analysis. Based upon the framework described in the previous chapter, the second half of this dissertation presents the criteria for the determination of the Grundgestalt. Beginning with a derivation of Brent Auerbach's proto-Grundgestalt analysis that catalogs the various voice-leading strands of a given composition into a summary chart that tracks the frequency of each motive's occurrence within its underlying musical segments, the analysis then evaluates the basis for each motive's hierarchy through a relative valuation according to the principles of cardinality and individuality. Following a subsequent expansion of the rules governing the organic map that Auerbach proposed to provide a visual representation of the hierarchy described in the proto-Grundgestalt analysis, summary chart, and relative valuation, Part III this dissertation uses that data to specify the location of the Grundgestalt in Johannes Brahms' Trio, Op. 114. A subsequent analysis of Brahms' Quintet, Op. 115 then provides the information necessary to qualify the Trio as emergent Grundgestalt archetype, and the Quintet as a cyclic Grundgestalt archetype.

This dissertation provides an interpretive guide to Variationen und Fuge über ein Thema von Händel, Op. 24, written in 1861 by Johannes Brahms (1833–1897), in orchestral terms, using as basis the orchestral transcription by Edmund Rubbra (1901–1986), published as his Op. 47 in 1938. Not only does Brahms' Variationen present players with considerable pianistic difficulties, its intense harmonic and polyphonic structures make the music sound symphonic. The English composer Edmund Rubbra, a great Brahms enthusiast, transcribed the work for orchestra. The transcription in effect represents Rubbra's interpretation of the piano work as well as his respect for it. When both orchestra and piano versions of a composition exist, pianists may obtain essential musical ideas from studying the orchestral version, just as it is advisable for conductors to study the piano versions of symphonic works, not only those arranged by the composer. Brahms himself was not only a composer but also a pianist and conductor. It is possible that he imagined orchestral sound when composing large-scale piano works such as his Variationen. New experiments in interpretation can offer a refreshing perspective. This study focuses on elements from Rubbra's orchestral version of Variationen that can inform pianists' interpretation.