Personalized Federated Direct Preference Optimization via LoRA Adapters
Authors: Zhanhong Jiang, Soumik Sarkar
Organizations: Translational AI Center, Iowa State University, Ames, IA 50011 USA · Department of Mechanical Engineering, Iowa State University, Ames, IA 50011 USA
Federated Direct Preference Optimization (FedDPO) enables privacy-preserving alignment of language models across distributed agents without centralizing sensitive preference data. However, existing FedDPO analysis assumes all clients converge to a single shared policy, which is fundamentally at odds with the heterogeneous preference distributions present in practice. We propose Personalized FedDPO (pFedDPO), in which each client maintains a small private LoRA adapter atop a shared global base model. In pFedDPO, the base model is synchronized via FedAvg each round, while LoRA adapters remain local and capture client-specific preference patterns. We prove that this decomposition replaces the gradient diversity κ2 in the FedDPO bound with a residual heterogeneity κeff2, which is no larger than κ2 when adapters absorb client-specific directions, at the cost of an additive adapter-bias term that vanishes as adapters converge. Experiments on preference datasets show that pFedDPO consistently attains a lower gradient norm than vanilla FedDPO while remaining competitive in training loss and per-client reward accuracy.
Figures & tables
Figure 1: Illustration of the pFedDPO framework. The server maintains a shared global base model θ . Each client i receives θ from the server, combines it with its private LoRA adapter ϕi (never shared), and performs local DPO updates on its private dataset Di . Only the base model updates Δθi are uploaded to the server for FedAvg aggregation, while adapters and data remain local. This design is intended to reduce effective gradient diversity ( κeff2≤κ2 under the conditions in the Appendix) and enables personalization without additional communication overhead.
Figure 2: Comparison of baselines with SHP data.
Figure 3: Per-client preference accuracy with SHP data.
Figure 4: Low rank r ablation with SHP data.
Figure 5: Gradient diversity κ2 ablation with SHP data.
Figure 6: Participation S ablation with SHP data.
Method
Base Model
Personalization
Conv. Theory
Comm. Vol.
Feedback
Aggregation
( Jiang 2026 )
Full model
✗ (shared policy)
✓ rate bound ( κ2 floor)
d per client
Paired
FedAvg (full model)
( Spadea and Seneviratne 2025 )
Full model (Alpaca-7B)
✗ (uniform)
✗ (empirical only)
d per client
KTO: single; DPO: paired
FedAvg (full model)
( Zhu et al. 2026 )
Shared LoRA + bottleneck adapter
✓ (private LLM head + reward head)
~ (probabilistic soundness only)
O((m+n)r) per client (LoRA dims)
Paired + explicit reward
FedAvg on shared modules; heads private
pFedDPO (ours)
Base + private LoRA per client
✓ (private ϕi , never shared)
✓ rate bound ( κeff2 + Cεϕ )
d per client (same as FedDPO)
Paired
FedAvg on base only; adapter stays local
Table 1: Comparison of federated fine-tuning methods. ✓=yes; ✗=no; ∼ =partial. Comm.Vol.=per-round communication volume per selected client. pFedDPO transmits d -dimensional base updates (same as FedDPO), not LoRA dimensions. Its distinguishing property is a rate-explicit bound capturing how private adapters reduce κ2 to κeff2 .
Hyperparameter
Value
Model
DistilGPT-2 ( ∼82 M)
# Agents (N)
5
Training samples per agent
120
Inverse temperature β
0.2
Optimizer
AdamW
Learning rate η
1e−4
Table 2: Hyperparameter Setup.
Method
Grad Norm ( ↓ )
Train Loss ( ↓ )
Reward Acc. ( ↑ )
Empirical κ2 ( ↓ , final)
Centralized DPO
∼ 0.70
∼ 0.10 (unstable)
∼ 0.75
N/A (no agents)
FedDPO (S=5) ( Jiang 2026 )
∼ 0.2
∼ 0.05
∼ 0.82
Not measured
pFedDPO r=8 (ours, default)
∼ 0.02
∼ 0.06
∼ 0.80
∼ 150–200 (from ∼ 1500)
Table 3: Comparison of DPO variants. Results at round 80 on SHP. Centralized DPO performs worst in this regime: with batch size 4 it receives far less gradient work per round than distributed methods (effective batch 5×4=20 for FedDPO), consistent with the computation-dominated analysis in ( Jiang 2026 ) . κ2 is measured on base model gradients only.
Figure 7: Comparison of baselines with HH-RLHF data.
Figure 8: Gradient diversity κ2 ablation with HH-RLHF data.
Figure 9: Per-client preference accuracy with HH-RLHF data.
Figure 10: Low rank r ablation with HH-RLHF data.
Figure 11: Participation S ablation with HH-RLHF data.
Aligning large language models (LLMs) with human preferences in federated learning (FL) is challenging due to decentralized, privacy-sensitive, and highly non-IID preference data. Direct Preference Optimization (DPO) offers an efficient alternative to reinforcement learning with human feedback (RLHF), but its direct application in FL suffers from severe performance degradation under non-IID data and limited generalization of implicit rewards. To bridge this gap, we propose FedPDPO (Federated Personalized Direct Preference Optimization), a personalized federated framework for preference alignment of LLMs. It adopts a parameter-efficient fine-tuning architecture where each client maintains a frozen pretrained LLM backbone augmented with a Low-Rank Adaptation (LoRA) adapter, enabling communication-efficient aggregation. To address non-IID heterogeneity, we devise (1) the globally shared LoRA adapter with the personalized client-specific LLM head. Moreover, we introduce (2) a personalized DPO training strategy with a client-specific explicit reward head to complement implicit rewards and further alleviate non-IID heterogeneity, and (3) a bottleneck adapter to balance global and local features. We provide theoretical analysis establishing the probabilistic foundation and soundness. Extensive experiments on multiple preference datasets demonstrate state-of-the-art performance, achieving up to 4.80% average accuracy improvements in federated intra-domain and cross-domain settings.
Kewen Zhu, Liping Yi, Zhiming Zhao +3
College of Intelligence and Computing, Tianjin University, Tianjin, China · College of Computing and Data Science, Nanyang Technological University, Singapore
Federated Learning (FL) offers a privacy-preserving pathway for aligning Large Language Models (LLMs); however, existing frameworks typically enforce a monolithic reward model, inevitably averaging out inherently conflicting user preferences (e.g., helpfulness vs. harmlessness). While Variational Preference Learning (VPL) offers a pathway to personalization, adapting it to decentralized settings presents a fundamental challenge: posterior collapse driven by severe local data scarcity and heterogeneity. In this paper, we propose Federated Variational Preference Alignment with Gumbel-Softmax Prior (FedVPA-GP), a framework designed to disentangle diverse preferences without compromising privacy. To stabilize variational inference, we introduce a Federated Mixture Prior that enables clients to leverage the aggregate population distribution as a dynamic prior. Furthermore, we incorporate an Orthogonal Loss that explicitly enforces the separation of preference prototypes in the latent space. Experiments on the HH-RLHF dataset demonstrate that FedVPA-GP significantly outperforms monolithic baselines, successfully disentangling conflicting user intents and enabling dynamic preference switching.
Jabin Koo, Hoyoung Kim, Minwoo Jang +1
Department of CSE, POSTECH, Pohang, Republic of Korea · National AI Research Lab, Seoul, Republic of Korea · Graduate School of AI, POSTECH, Pohang, Republic of Korea
Preference-based reinforcement learning (RL) is a key paradigm for aligning policies with human judgments, yet its theoretical behavior in distributed settings where preference data are fragmented across heterogeneous users remains poorly understood. Direct Preference Optimization (DPO) avoids explicit reward modeling but lacks convergence guarantees under federated and decentralized training, where communication constraints and non-IID preferences fundamentally alter optimization dynamics. We provide the first convergence and time-complexity analysis of DPO in distributed environments. Modeling personalized offline RL with user-specific preference distributions, we characterize the induced global optimization landscape. For federated DPO, we derive convergence rates that quantify the impact of client drift, communication frequency, and preference heterogeneity; for decentralized DPO, we establish convergence over general communication graphs and show how spectral connectivity governs optimization speed and consensus. Empirically, we corroborate our theoretical insights on standard alignment benchmarks, demonstrating that our proposed methods not only enjoy strong theoretical guarantees but also deliver robust and scalable performance in practice. The code base is available here.
Zhanhong Jiang
Translational AI Center, Iowa State University, Ames, USA.