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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

ARAGORN LTD.

CRD 129380

BRAINTREE, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ae99902f-e9ec-92e7-bd73-f0b7b564b2a4

Data as of Sep 24, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 22, 2012 to Sep 24, 2012
4 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $44.9MItem 5.F on the latest filing (2012-09-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $44.9M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $44.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Accounts: 235
SEC number: 801-66262
CRD: 129380
Filings on the tape: 4
First filed: Mar 22, 2012
Latest filed: Sep 24, 2012
Organised: Corporation, Massachusetts

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DAVID CRAIG TROTT	n/a	MILTON, MA	21	48	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SUTCLIFFE, DAVID, MILLER	INVESTMENT OFFICER	C	yes	12/2005	Mar 22, 2012	Sep 24, 2012
TAYLOR, GEORGE, PRESCOTT	INVESTMENT OFFICER	B	yes	06/2006	Mar 22, 2012	Sep 24, 2012
TROTT, DAVID, CRAIG	PRESIDENT / CHIEF COMPLIANCE OFFICER	C	yes	01/2000	Mar 22, 2012	Sep 24, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
DAVID C. TROTT, P.C.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Reading	Ma	United States	n/a	no
Wrentham	Ma	United States	n/a	no
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 22, 2012	$34.7M	$34.7M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$44.9M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (3)

← TAYLOR, GEORGE, PRESCOTTOwnerINVESTMENT OFFICER, ownership code B, individual
Mar 22, 2012 to presentfactForm ADV
← TROTT, DAVID, CRAIGOwnerPRESIDENT / CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 22, 2012 to presentfactForm ADV
← SUTCLIFFE, DAVID, MILLEROwnerINVESTMENT OFFICER, ownership code C, individual
Mar 22, 2012 to presentfactForm ADV

Registered with (1)

← DAVID CRAIG TROTTAdvisorregistration: current employment
Mar 8, 2005 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae99902f-e9ec-92e7-bd73-f0b7b564b2a4
First observed: Mar 22, 2012
Last observed: Sep 24, 2012 170 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ARAGORN LTD.

CRD 129380

BRAINTREE, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ae99902f-e9ec-92e7-bd73-f0b7b564b2a4

Data as of Sep 24, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:59 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DAVID CRAIG TROTT

n/a

MILTON, MA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SUTCLIFFE, DAVID, MILLER

INVESTMENT OFFICER

yes

12/2005

Mar 22, 2012

Sep 24, 2012

TAYLOR, GEORGE, PRESCOTT

INVESTMENT OFFICER

yes

06/2006

Mar 22, 2012

Sep 24, 2012

TROTT, DAVID, CRAIG

PRESIDENT / CHIEF COMPLIANCE OFFICER

yes

01/2000

Mar 22, 2012

Sep 24, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DAVID C. TROTT, P.C.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Reading

United States

n/a

Wrentham

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 22, 2012

$34.7M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$44.9M

n/a