The Persona Hierarchy Model: Understanding Contextual Generalization in Fine-Tuning LLMs

Large language models (LLMs) are increasingly used as surrogates for human participants, but it remains unclear which models best capture human behavior and why. To address this, we introduce Psych-201, a novel dataset that enables us to measure behavioral alignment at scale. We find that post-training -- the stage that turns base models into useful assistants -- consistently reduces alignment with human behavior across model families, sizes, and objectives. Moreover, this misalignment widens in newer model generations even as base models continue to improve. Finally, we find that persona-induction -- a popular technique for eliciting human-like behavior by conditioning models on participant-specific information -- does not improve predictions at the level of individuals. Taken together, our results suggest that the very processes that are currently employed to turn LLMs into useful assistants also make them less accurate models of human behavior.

Personalizing language models (LMs) to individual user preferences is essential for aligning responses with diverse goals and backgrounds. Existing methods typically train a separate adapter for each user or learn a reward model whose scores depend on the user. Despite explicitly optimizing for each user, these methods must learn from limited observations and therefore suffer from data sparsity and poor generalization to unseen users and domains. In-context learning (ICL) and Context Steering (CoS) can instead provide more effective personalization by conditioning the base LM directly on user context and leveraging its pretrained capabilities without per-user training. Yet neither adapts the influence of that context across decoding steps: ICL leaves it uncontrolled, whereas CoS applies a fixed steering coefficient and requires two LM forward passes per step. We propose Cautious Context Steering (CCS), which adds a lightweight adapter to a frozen backbone LM to decide at each token whether and how strongly user context should affect generation. The adapter learns this behavior from an oracle context-conditioned LM and preserves the base LM when the context is not helpful. A single CCS adapter trained on only one dataset improves generation quality both in-domain and across four out-of-distribution personalization benchmarks, demonstrating robust generalization to new users and domains. CCS also avoids per-user fine-tuning and the additional context-conditioned forward pass required by CoS, substantially reducing inference cost.

The mechanisms behind LLMs' broad over-generalization beyond training examples remain unclear. Emergent misalignment (EM) offers a striking case study: finetuning on narrow tasks induces broad misalignment to semantically-unrelated test domains. In this work, we propose the Piggyback Hypothesis: the chat-template tokens can piggyback the finetuned behaviour onto out-of-domain queries. We validate this hypothesis by showing that subtle perturbations to the prefix (tokens preceding all user queries), or patching the prefix representations with those from the unfinetuned model, can restore alignment without changing the user query. Building on this finding, we propose Token-Regularized Finetuning (TReFT), which regularizes specific token representations during training to mitigate EM. Across different models and multiple EM-inducing datasets, TReFT reduces EM while preserving in-domain learning. On Llama-3.1-8B finetuned on the legal domain, TReFT achieves 33.5% more EM reduction than data interleaving with a retain set of aligned examples. We further show that TReFT extends to other narrow-finetuning settings, including abstention, tool use, and refusal (off-topic generalization is reduced by 54.3% on average), supporting the Piggyback Hypothesis. Broadly, our work highlights that LLMs may learn and generalize in unintended ways and suggests a path toward more constrained finetuning. It also calls for further study of how shared input features can piggyback model behavior across domains.