SAHI 6.

3 rev 9/30/05 3:57 PM Page 178

Spirituality and Health International

6(3): 178–184 (2005)
10.1002/shi.4

Jungian archetypes of self,

shadow and ego in the legend
of the Lord of the Rings: an
analytical psychological view
Arash Javanbakht MD

Abstract
According to psychoanalysis and analytical psychology schools myth and religious stories are
believed to be the representatives of the intrapsychic life and they symbolize the evolution,
interactions of elements, fears, hopes and failures and growth of the human psyche reflected in
the language of symbolic stories. An archetype is a universal form or predisposition to
characterize thoughts or feelings, an unlearned tendency to experience things in a certain way
that can evoke powerful emotions in the reader or the audience because it awakens a
primordial image of the unconscious memory. They are the essence of myths, legends and
religious stories, through which analytical psychologists seek the traces of the human psychic
nature and unconscious life. These legends and stories can also be of diagnostic and
therapeutic help as they can be guidelines to the steps of the person’s psychic evolution and its
difficulties. They may also be used for helping people to know where they are in their journey
toward the so-called process of individuation. In this paper the very interesting, complex and
well-known modern legend of the Lord of the Rings (Tolkein, 1954), now a major and acclaimed
film series, is explored. The major archetypes of Self, Shadow and Hero and their interactions,
the levels of the psychic growth and its hazards can be traced in this story, and have probably
been a major contributor to its success. Copyright © 2005 John Wiley & Sons, Ltd.

Key words: mythology, legend, meaning, archetypes, conscious and unconscious Self, the hero’s journey,
Lord of the Rings, shadow

Introduction important element of the human psyche that can

The first scientist who brought the issue of the be found in all nations, civilizations and
Archetypes to the science of psychology was Dr indigenous tribal societies throughout history.
Carl Gustav Jung. He studied them extensively in According to Jung, archetypes ‘are not
religious and mythological contexts as well as disseminated only by tradition, language, and
dreams. Archetypes are a permanent and very migration, but ... they can rearise spontaneously,

Copyright © 2005 John Wiley & Sons, Ltd. 6(3): 178–184 (2005)
SAHI 6.3 rev 9/30/05 3:57 PM Page 179

Jungian archetypes in the Lord of the Rings 179

at any time, at any place, and without any outside tells the truth about the ring. Just like many
influence’ (Jung, 1969). An archetype is a other myths, this is the self that appears for a
universal form or predisposition to characterize short period in the beginning, provokes the
thoughts or feelings (Hynan, 2003), an journey and calls the heroes to the quest. Then
unlearned tendency to experience things in a he disappears from sight, leaving the heroes, as
certain way (Boeree, 1997). Jung points out that: he is imprisoned by Saruman (q.v. the
shadowed self). He returns to lead the
‘Archetype’ is an explanatory paraphrase of the Fellowship through their hard journey and
Platonic _ì___. For our purposes this term is finally has to lead them to the gate of the mines
apposite and helpful, because it tells us that so of Moria. Here he has a crystal on his staff that
far as the collective unconscious contents are lights up the dark of Moria as a symbol of the
concerned we are dealing with archaic or – I blessed light of the Self typically found in
would say – primordial types, that is, with legends.
universal images that have existed since the Significantly, he faces the monster Balrog in
remotest times. The archetype is essentially an the dark of Moria. Interestingly his fear and
unconscious content that is altered by becoming initial refusal to choose the path through the
conscious and by being perceived, and it takes mines reflects the fear of the whole psyche of
its colour from the individual consciousness in encountering the troubles of the internal
which it happens to appear. (Jung, 1969) journey. The pathway of psychic growth and
evolution is through pain and suffering, and it
An archetype is not a picture, but rather the bears many dangers and hazards for the totality
tendency to form a picture in typical ways; in of the psyche. Dr Jung in his book Psychology and
other words, a mental model made visible (Senge Alchemy notes the instinctual fear of this journey
et al., 1994). An archetype is believed to evoke because of its risk of disintegration for the
powerful emotions in the reader or the audience whole psyche (Jung, 1968). He offers an
because it awakens a primordial image of the example from the Rosarium Philosophorum that says:
unconscious memory and that is why the myths, ‘Nonnuli perierunt in opere nostro’ (There were
legends or even movies (such as Star Wars) that not a few people in our work who ended in
are based on the archetypes can be so insanity). There are also other alchemical notes
compelling. Jung believed that just like the about the severe difficulty of the pathway
unconscious section of the human psyche makes (Allegoriae Super Librum Turbae, Art. Aurif). But
the scenario of a dream, a legend or myth is the Gandalf finally has to accept fate.
reflection of psychic elements and processes of The dark of Moria signifies the psychic
growth. He saw the human psyche growing and journey through the deep dark of the
evolving, taking its conscious shape from the unconscious (similar examples include the
patterns set in the unconscious archetypes descent of Jesus, Jonah into the whale’s
demonstrated in myths and legends. stomach, Joseph to the well, and the journey of
The Lord of the Rings series offers us a Hercules in the dark sea during the night) (Acts
classic example of the illumination and acting 3:15; Rom 8:11) (Matthew, Mat. 12:40)
out of these archetypes, and some of the (Quran, Joseph (Yüsuf), 12:15). In the
significant ones will be explored here. blackness of the unconscious the Fellowship
encounter the dark fiery monster of the Balrog.
Self Here Gandalf has to fight the creature and he
Gandalf the Wizard: The whole story begins falls down the Abyss, a journey through Hades
with the entrance of Gandalf the Gray – a or hell, which is needed for growth. Through
symbol of the true self that bears a message and this falling down into the dark of the

Copyright © 2005 John Wiley & Sons, Ltd. 6(3): 178–184 (2005)
SAHI 6.3 rev 9/30/05 3:57 PM Page 180

180 Arash Javanbakht

unconscious and struggling with the fire of the purified Self is at the Battle of Helm’s Deep
Balrog, Gandalf grows and the fire purifies him when the dark forces are close to overwhelming
into ‘Gandalf the White’. This is reminiscent of the people of Rohan. He appears leading the
the ancient alchemical principle of the refining forces of light (the rescuing cavalry) at dawn to
and purifying nature of fire – purification is not drive away the forces of shadow. As Jung notes,
possible without first passing through fire and the Self appears and helps the whole psyche in
the descent into shadow. King David wrote ‘For times of crisis: The light comes in the very dark!
great is thy mercy toward me: and thou has (Art, Aurif, II). It is worth noting further at this
delivered my soul from the lowest hell.’ (Psa. point in the battle, when Gandalf returns with
86:13) It is also written in the Holy Quran of light, that it is a crisis point – after the forces of
Muslims that ‘Not one of you but will pass over light (Aragorn, Theoden) make a final
it [originally: through it (hell)]. This is a decree commitment when all seems lost to go out and
which must be accomplished’ (Quran, 19:71). fight until death: ‘For death and glory!’ In terms
Finally Gandalf defeats the Balrog and they fall of psychic evolution, this means the true Self
on the rocks covered by white snow (in the appearing in order to help when there is no
film) as another sign of the victory of the forces other hope and the conscious ego (Hero) takes
of light over the forces of darkness. the risk and faces directly the dark and life-
After his purification and growth, Gandalf threatening danger. The conscious ego has no
appears to the heroes Legolas, Aragorn and choice, for it must face the threat and go into it
Gimli (q.v.) in the dark and unknown forest of in order for the true Self to appear.
Fangorn (mirroring the return to reality, such as Elrond, a Lord of the Elves, is another
the resurrection of the Christ, the emergence of symbol of the Self, but this time of its magical
Jonah from the whale’s stomach). It is common nature (he is an elf). He is like his daughter
in mythology that the self appears in such Arwen (q.v.) a symbol of the Anima rather than
places as forests or by the sea – symbols of the the conscious self. This makes his role – as
unconscious. Jung noticed a story from the another layer of the Self – different from that of
Quran relating that Moses met a wise man sent Gandalf who has more contact with the
from God at the seaside: ‘Behold, Moses said to conscious part (Heroes).
his attendant, “I will not give up until I reach Theoden, king of Edoras: It is not easy to
the junction of the two seas or [until] I spend call him a symbol of the Self, but there are signs
years and years in travel.” But when they that this is so. His mind has been troubled and
reached the Junction, they forgot [about] their poisoned by Saruman (a force of darkness). He
Fish, which took its course through the sea is standing at the edge between two similar
[straight] as in a tunnel.... So they found one of symbols on the two sides: he is a king and has
Our servants, on whom We had bestowed been a good person, which relates him to the
Mercy from Ourselves and whom We had enlightened Self (Gandalf) yet his mind is also
taught knowledge from Our own Presence’) corrupted by Saruman (q.v.). He suggests a
(Quran, 18: 60–65). symbol of an unrevealed part of the self, which
Another task of Gandalf is to heal the is still covered by the shadow side. He
diseased king of Rohan, Theoden, again represents the diseased king of the stories of
symbolizing an unrevealed part of the self, still Alchemists or the sleeping prince in the dark
covered by shadow (Theoden’s mind is deep of the sea asking for help and says: ‘The
poisoned by Saruman, the original white wizard one who saves me from the Abyss, I will guide
and leader of Gandalf’s order, but who has now him to treasures.’ Let us suppose that Theoden is
turned traitor). Another important appearance a still dark part of the Self that will be cleansed
of Gandalf the White as the power of the from the effects of Shadow by the light part of

Copyright © 2005 John Wiley & Sons, Ltd. 6(3): 178–184 (2005)
SAHI 6.3 rev 9/30/05 3:57 PM Page 181

Jungian archetypes in the Lord of the Rings 181

the self (Gandalf) with the help of the interior (in the need for him to overcome his
conscious self (Aragorn and others). doubts and fears and the risk of surrendering to
We can find some other symbols of the Self the power of the ring). His diminutive size puts
in the story, such as the magical sword given to him closer to the earth (symbol of the
Frodo by Bilbo that by giving off a blue light unconscious). Hobbits, however, also have
alerts its owner to danger when dark forces pointed ears like elves, placing them closer to
(orcs) are present. The light of ‘Earendil’ the edge of the unconscious in comparison
(contained in a phial of magical water) is given with men. Hobbits never wear shoes and are
to Frodo by Galadriel, the Elf queen, and shorter, placing them near to the lower and
intended as a light for him whenever he is in more primitive parts of the psyche.
great darkness (‘May it be a light for you in Aragorn is human and much more similar
dark places, when all other lights go out’: an to the heroes of legends than Frodo. He is more
exact definition for the Self!). Another is the powerful and brave and is present in all the
crystal that Gandalf puts on his staff to light up battles, indicating the necessity for the
the dark of Moria. It is very common in myth conscious part of the psyche to actively
and legend for the Self to appear as lights, participate in all the struggles with the Shadow
gemstones, crystal balls and magical swords. part. His love for Arwen the Elf (as Anima)
Other appearances of the Self can be found in makes him more similar to a typical Hero. Since
the scene where Arwen calls up the foaming he is a human, he has no magical powers or
white of the river as they flee to Rivendell, to characteristics of the other fellows that are
defeat the pursuing black riders. The evil related to the elements of the unconscious; he is
Saruman has his crystal ball ‘Palantir’ as the linked more to ordinary reality and has more
symbols of the dark and shadowed Self on the ‘real’ powers. These all place him as the pure
other side of the white Self. conscious part of the psyche, in contrast to
Frodo and Legolas (q.v.) who are on the
Heroes borders of the conscious and the unconscious.
In almost all legends, the role of the hero is Since he is completely conscious, he is the only
very prominent. The hero is supposed to one who doesn’t kneel in front of the Gandalf
overcome the forces of darkness (Shadow) the White in Fangorn forest when he, Gimli the
through the guidance and help of the Self and dwarf and Legolas meet Gandalf in his new
assistance and help of the Anima. The heroes in form for the first time.
the Lord of the Rings symbolize the conscious Legolas as an elf is linked more to the higher
part of the psyche in its struggle for growth and levels of consciousness on the border of the
maturation. higher unconscious. His sharp vision and Elfish
Frodo’s task as a hero is very complex. He is features put him on the border between the
the ring bearer, yet he is not glorious or totally conscious Aragorn and the Self (Gandalf)
powerful, as heroes in such legends tend to be. as a high and enlightened level of the
As a hobbit, his physical stature is less than that unconscious. Frodo on the other hand is on the
of all his companions. But the story relies on border between the conscious (Aragorn) and the
the heroic nature of the possibility of even the shadow and more instinctual parts of the psyche.
‘smallest person’ having the potential to change Legolas never goes wrong, but Frodo sometimes
the course of the future. Paradoxically, Frodo’s is in danger of surrendering to the Shadow.
weakness, his very ordinariness and humility, The above three heroes form a
becomes his strength like that of other heroes in comprehensive feature of the hero archetype,
the struggle with the shadow, both external (his with its connections to the dark (shadow) and
journey into Mordor as the land of shadow) and light (Self).

Copyright © 2005 John Wiley & Sons, Ltd. 6(3): 178–184 (2005)
SAHI 6.3 rev 9/30/05 3:57 PM Page 182

182 Arash Javanbakht

Shadow The Nine Ringwraiths are manifestations of

There are many creatures of the shadow in the the deepest part of the Shadow after Sauron.
story. Some are completely possessed by the These ‘Black Riders’, also called ‘Nazgul’, wear
shadow side (for example Sauron and the Orcs), black cloaks (another sign of the unconscious
and some belong to the other archetypes that Shadow), are invisible and can only be seen
are contaminated and corrupted by it. because of their clothing. This feature (their
Sauron is the deepest part of the shadow; he being invisible) suggests that they are more
is the demonic – Satan himself. Since he belongs unconscious than the Orcs, the other main
to the deepest parts of unconscious shadow, he Shadow side characters. The ringwraiths/Nazgul
is more vague and ill defined (he appears to are the immediate servants and soldiers of
have no physical body for example). The Sauron and are at the second level after him.
shadow as Sauron rules all the forces of the dark They ride black horses or fly upon dragon-like
side, but since it is in the deepest part of the creatures, adding further to their forceful
unconscious, it has no close contact with the supernatural and unconscious identity. They are
conscious and it fights the heroes by the forces on the edge between the material world and
found in the more superficial layers of the supernatural immaterial world, on a border
Shadow. It is the deepest evil desire in the myth, between the collective unconscious Shadow and
which rules other acting elements of the the personal Shadow. The Nazgul also have a
Shadow side, which are in more direct contact keen sense of smell and extremely poor vision,
with the conscious and interact more with it. which represents their being more primitive
Since he/it is the deepest part of Shadow elements of the psyche.)
(the Jungian collective unconscious Shadow, the Saruman was originally a White Wizard
Satan, devil or dark evil force of many religions who is corrupted by the dark side. Since he is a
and myths) the conscious part in the form for Wizard, he once belonged to the Light side but
example of Aragorn and Frodo has less direct he has completely turned to the service of the
contact with it in the beginning and the middle dark lord, Sauron. This fact makes his identity
of the adventure. For, before facing Sauron, the more complex. Unlike Theoden, who has also
conscious has to solve its conflicts with the been corrupted by the shadow influence of
more superficial levels of the Shadow that are Saruman, Theoden is redeemed by the forces of
more accessible to the hero (conscious) like the light. But Saruman is irredeemable, having
Orcs, the Watcher serpent at the gate of Moria, become part of the Shadow, and there is no way
the Balrog, Saruman and so on. back for him; ultimately he is himself
A prominent image of Sauron is his eye that diminished and destroyed, unable even after he
sees almost everything and everywhere (every has lost much of his power to turn back
part of the psyche from the deep of the Shadow towards the light, even when given the
side). This is reminiscent of a verse in the Holy opportunity after his defeat by Gandalf. As such
Quran that says: ‘O children of Adam, let not the he belongs to the destructive dark side of the
devil seduce you.... He surely sees you, he as self; this is discussed more in Man and his Symbols
well as his host, from whence you see them (Jung et al., 1997).
not’ (Quran, 7:27). Like Satan, Sauron does not The Watcher in the Water is a serpent-like
so much force others to do wrong as seduce creature living under the water beside the gate
them to do so. (Quran: ‘But he had no authority of Moria where the dangerous journey through
over them – except that We might test the man the deep underground and dark mines begins.
who believes in the Hereafter from him who is Although it is part of the Shadow, its presence
in doubt concerning it: and thy Lord doth is needed for the evolutionary growth process.
watch over all things’) (Quran, 34:21). When the Fellowship realize the dangers of

Copyright © 2005 John Wiley & Sons, Ltd. 6(3): 178–184 (2005)
SAHI 6.3 rev 9/30/05 3:57 PM Page 183

Jungian archetypes in the Lord of the Rings 183

Moria, they decide to retreat (and stop the problem regarding these primitive instincts
process of growth) but the Watcher blocks their and fears as parts of the Shadow is the
return and forces them to their only means of enormity of their number – for there are
escape from it – by entering the cave before many thousands of them, almost
them. Thus the Watcher plays a role of forcing overwhelming and making the task of the
them to continue their journey into shadow. In heroes extremely difficult.
the journey of awakening, it is not possible to The orcs are made only by Sauron and are
avoid working with the shadow side. This task weaker and also more susceptible to the Light
of the Watcher is again reminiscent of Quranic (of the Self and consciousness) that weakens
verses where the task of Satan is to make Adam them. In contrast, the Uruk-Hai are bred by
and Eve leave paradise against their will, a Saruman. They are a new generation of Orcs
descent that was needed for their maturation. cross-bred with men, the orcs themselves being
They had to leave the first heaven of creatures created by Sauron from the corruption
immaturity, indifference and total of elves, symbolizing the Shadow (Sauron) and
unconsciousness and go down to the earth of the corrupted Self (Saruman) forming a new
challenge and pain to grow into maturity, servant of shadow. The conspiracy and
individuation or self-actualization and thus relationship between Sauron and Saruman
enter the second heaven of wisdom, maturity creates the Uruk-Hai and makes them more
and total consciousness. (Quran, 7:19–25). This complex and more powerful than the orcs and
illuminates the necessary role of the Satan, or also more resistant to the Light (they are able to
Shadow, in the human being’s growth and walk in daylight, which the orcs avoid). Finally,
psychic evolution. they are the symbol of the Shadow of darkness
The Balrog has already been mentioned, over almost all parts of the psyche such as the
and it is interesting that this creature is not Self (they are made by Saruman the Wizard),
able to speak (it is one of the rare pictures of the Hero (one of the Uruk-Hai kills Boromir
the Shadow side that does not speak), relating the human who was a partner of the fellowship
it to the more primitive and basic layers of the as a Hero) (Conscious), and the Anima and
unconscious. Animus (they are corrupted elves); this
The Orcs and the Uruk-Hai on the other illustrates the state of psychosis.
hand are soldiers of the Shadow and have the This paper has sought to discuss very briefly
power of speech, suggesting they are in closer the footsteps of the psychological archetypes in
contact with the conscious part of the psyche the story of the Lord of the Rings. They are
(the Heroes) in their various guises they have deeply rooted in human unconscious, which is
bodies and are more similar to men and elves why stories built on these archetypes continue
than other subtypes of the Shadow. This puts to be so appealing. They represent the essential
them at the most superficial layers of the nature of human consciousness and its struggle
Shadow where it borders the conscious. They with its shadow side in order to become
even have blood like humans (but it is black, individuated, healed and whole. They are the
another reminder of their Shadowy processes people go through towards spiritual
connection). They are very primitive desires maturity as the dark internal forces are
and fears, which are bred from the earth of transformed, often against a great struggle into
the unconscious. Since they are more revealed light. The Lord of the Rings works as a story
to the conscious and are more known by it, because it embraces all the essential archetypes,
they are the weakest elements of the Shadow and therefore operates at many levels, as
against the power of the Heroes. A Hero can entertainment, as a mirror of our own internal
easily kill an Orc or an Uruk-Hai, but the processes, as a metaphor and guide for spiritual

Copyright © 2005 John Wiley & Sons, Ltd. 6(3): 178–184 (2005)
SAHI 6.3 rev 9/30/05 3:57 PM Page 184

184 Arash Javanbakht

awakening. The story would not be complete

unless all the archetypes of shadow and light Arash Javanbakht MD
were included, symbolizing further that in the Ibn E Sina Psychiatric Hospital, Mashhad
University of Medical Sciences, Mashhad, Iran.
evolutionary journey to awakening only a
Address: No 180, Banafsheh St., Sajjad Blvd.,
complete approach is possible. It is not possible Mashhad, Iran, PC: 91876.
just to work with light and bliss; the emotional arjavanbakht@gmail.com
work of encountering the darkness and shadow
must also be fulfilled in the journey toward self-
actualization.

Notes
Film details are from Peter Jackson’s (director) Lord of the Rings trilogy (each film issued in
sequence and with the same titles as the original Tolkein story – The Fellowship of the Ring (2001), The
Two Towers (2002) and The Return of the King (2003). Wingnut Films. Information also derived from the
filmmaker’s website: http://www.lordoftherings.net/guide/index_ring.html

References
Allegoriae Super Librum Turbae, Art. Aurif., I, pp. 139ff.
Art, Aurif, II. ‘Et invenitur in omni loco et in quolibet tempore et apud omnem rem, cum inquistitio
aggravat inquirentem’. ‘And it is found in every place and at any time and in every circumstance, when
the search lies heavy on the searcher’ p. 243.
Boeree G (1997) cited in Jung CG (1969) Archetypes op cit.
Goodman and Kemeny (1994) In Senge et al. p. 164.
Holy Bible Acts 3:15; Rom 8:11; I Cor 15:20; cf. Heb 13:20.
Holy Bible Matthew, Mat. 12:40 (KJV).
Holy Bible Psa. 86:13 KJV.
Hynan M (2003) Course of personality theories. Personality Theory 820.407 Se 001 Spring, Chapter 3: Jungian
analysis. University of Wisconsin – Milwaukee[AQ3].
Jung C (1969) The Archetypes and the Collective Unconscious, trans. RFC Hull, 2nd edn. New York: Princeton
University Press, p. 79.
Jung CG (1968) Psychology and Alchemy, 2nd edn (Collected Works of C.G. Jung, Vol.12 Chapter IV: Myth of
Hero.
Jung CG, et al. (1997) Man and His Symbols, Chapter 3: Contact with the Self.
Quran, Joseph (Yüsuf), 12:15.
Quran, 19:71.
Quran, 18:60–65.
Quran, 7:27.
Quran, 7:19–25.
Quran, 34:21.
Senge P et al. (1994) The Fifth Discipline Fieldbook: Strategies and Tools for Building a Learning Organization. New York:
Doubleday.
Tolkein JRR (1954) The Lord of the Rings. London: Unwin.

Copyright © 2005 John Wiley & Sons, Ltd. 6(3): 178–184 (2005)